An Incremental and Participatory Toolbox for Urban Planning

An Incremental and Participatory Toolbox for Urban Planning

1. A global toolbox to support local governments and urban
actors in small and intermediate cities to implement and
customise inclusive urban planning processes
Fourth edition
An Incremental and Participatory
Toolbox for Urban Planning

2. Our City Plans: An Incremental and Participatory Toolbox for Urban Planning
A global toolbox to support local governments and urban actors in small and intermediate cities to implement and
customise inclusive urban planning processes
Fourth edition
Disclaimer
The designations employed and the presentation of the material in this publication do not imply the expression
of any opinion whatsoever on the part of the Secretariat of the United Nations concerning the legal status of any
country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers of boundaries. Views
expressed in this publication do not necessarily reflect those of the United Nations Human Settlements Programme,
the United Nations, or its Member States.
Excerpts may be reproduced without authorization, on condition that the source is indicated.
Project coordinator
Laura Petrella
Project manager
Javier Torner
Authors
Thomaz Ramalho, Laure Garel, Daniela Chong, Marcella Guarneri, Javier Torner, Chiara Martinuzzi, Mariana Saraiva
de Melo Pinheiro, Elena Balabanska
Contributors
Shipra Narang Suri, Cecilia Andersson, Myriam Azar, Clara Alonso, Helio Munhoz Buba, Gianluca Crispi, Lennart
Fleck, Salvatore Fundaro, Christelle Lahoud, Herman Pienaar, Lorenzo Scialdone, Antara Tandon, Ombretta Tempra,
Claudio Acioly, Dyfed Aubrey, Mathias Spaliviero, Claudio Torres, Eugenia de Grazia, Samie Raichs, Elisa Meza,
Carlos Betancourth, Steven Bland, Pinar Caglin, José Chong, Gabriela Aguinaga Gumuzio, Irfan Mahmun, Princesse
Samba Makondele, Fernando Murillo, Teferra Sileshi, Jenna Helal, Lorenzo Scialdone, Valeria Villanueva, Fernando
Rementeria, Alina Koschmieder, Fathi Egal, Solomon Njogu, Danilo Antonio, Roberta Psimenos, Diego Vivas, Paola
Cordova, Marcela Durand.
Design and Layout
Chiara Martinuzzi, Laure Garel, Mariana Saraiva, Daniela Chong, Marcella Guarneri, Arianna Tilli, Diego Vivas Huaccho,
Abdelrahman Ibrahim.
Our City Plans Team 2024: Javier Torner, Marcella Guarneri, Daniela Chong, Mariana Saraiva, Elena Balabanska,
Roberta Psimenos, Abdelrahman Ibrahim, Priyasha Singh.
https://ourcityplans.org/
All rights reserved
United Nations Human Settlements Programme (UN-Habitat)
P. O. Box 30030, 00100 Nairobi GPO Kenya
Tel: [phone] (Central Office)
www.unhabitat.org
Copyright © United Nations Human Settlements Programme 2024
[email protected]

3. A global toolbox to support local governments and urban
actors in small and intermediate cities to implement and
customise inclusive urban planning processes
Fourth edition
An Incremental and Participatory
Toolbox for Urban Planning

4. Phase 1: Assesment
Block A: Contextualisation
Human and Physical Resources
Review
Legal Framework Review
Financial Resources Review
Programming the Planning Process
1.
2.
3.
4.
20
22
24
25
27
28
Block B: Project preparation
Guiding Document Environmental and Social Development
Impact Plan for the Planning Process
Resource Mobilisation and Project Office
5.
6.
7.
Block C: Participation Set-up
Participation and Committees Formation Participation Plan Communication Strategy Public Launch of the Planning Process8.
9.
10.
11.
Phase 2: Plan
Block E: Strategic Development
Scenario Building Strategic Visioning Workshop Spatialisation of the Strategic Vision Urban Development Structure
Development Zones
Formulation of Strategies and Initiatives
Strategic Projects Workshop
Environmental and Social Impact
Strategy for the City
Presentation and Validation of Results
(Strategic Development and Spatial Plan)
17.
18.
19.
20.
21.
22.
23.
24.
25.
Block D: Analysis and diagnosis
Desk Research
Field Research
Analysis
Analysis Validation and
Diagnostic Workshop
Diagnostic
12.
13.
14.
15.
16.
Block F: Management Plan
Land Strategies
Land Use Map and Indicators
Urban Development Directives
Sectoral Plan
Presentation and Validation of Results
(Land Management Plan)
26.
27.
28.
29.
30.
Block G: Neighbourhood Plan
Detailed Data Gathering and Analysis
Neighbourhood Planning Workshop
Neighbourhood Plan and Design
Neighbourhood Projects and Interventions
Environmental and Social Impact
Strategy for the Neighbourhood Plan
Presentation and Validation of Results
(Neighbourhood Plan)
31.
32.
33.
34.
35.
36.
30
32
33
34
36
38
40
42
43
44
46
48
50
52
54
56
58
60
62
64
66
68
70
72
74
76
78
80
82
84
85
86
88
90
92
94
96
98
100
Table of contents

5. Phase 3: Operationalisation
Block H: Project Prioritisation
Project Preparation
Participatory Prioritisation Workshop
Project Technical Prioritisation
Economic Impact Analysis
Development of Strategic Project Sheets
Presentation and Validation of Results
(Project Prioritisation)
37.
38.
39.
40.
41.
42.
Block I: Instruments
Land Management Instruments
Financial Instruments
Legal Instruments
Governance and Management
Instruments
Action Plan
Presentation and Validation of Results
(Action Plan)
43.

44.
45.
46.
47.
48.
Block J: Monitoring and Evaluation
Monitoring and Evaluation Framework
Monitoring and Evaluation Strategy
49.
50.
Phase 4: Implementation
Block K: Implementation
Mechanisms
Plan Approval
Resource Mobilisation
Project Management
Implementation Work Plan
Implementation of the Plan’s Projects and
Actions
51.
52.
53.
54.
55.
Block L: Follow Up Strategy
Evaluation of the Plan’s Projects and Actions
Socialisation, Feedback and Learning
Mechanisms
Incremental Improvements to the
Planning Process
52.
53.
54.
102
104
106
108
110
111
113
114
116
118
120
122
124
126
127
128
130
132
5. Tools
6. Annexes
134
136
138
139
141
142
143
144
146
148
149
150
296

6. 6
Foreword
Maimunah Mohd Shariff
Executive Director, UN-Habitat
As demographic pressure keeps rising, small and
intermediate cities tend to urbanise faster, facing
additional challenges such as conflicts over land
property, unplanned and unstructured territory,
urban sprawl, insufficient infrastructure and basic
services provision, and poor mobility network. To
absorb the rapid increase in population, cities
need to identify priorities and develop a city-wide
strategic plan, to adequately address the urgent
need for sustainable urban development.
Moreover, community engagement and
participatory planning processes are often left
behind, especially when time and resources
are limited. Small and intermediate cities facing
rapid expansion hold timely opportunities to set
the basis for sustainable growth, which requires
a holistic understanding of the context and
its community, and integrated and inclusive
planning processes.
The current pandemic crisis has put the
world under an unprecedented economic,
environmental, social, and political crisis. Local
governments seek guidelines, as cities have
become the epicentres of the covid-19 pandemic,
with over 95% of total cases concentrated in urban
areas. Existing issues such as the lack of access
to clean water and sanitation and to adequate
housing and public spaces have been amplified,
especially for the most vulnerable groups.
Gathering and physical distancing restrictions
also threaten the implementation of participatory
and inclusive urban planning processes that
include traditional in-person collaborative
design workshops and validation sessions. The
role of digital and innovative tools to engage
communities has become crucial.
In this context, UN-Habitat has been developing
innovative approaches and tools in the fields
of planning, design, governance, policy and
economy, centred on the active participation
of the community. The goal is to support local
governments in developing countries to deal with
the challenges of rapid urbanisation and climate
change, and to implement the Sustainable
Development Goals and the New Urban Agenda.
However, there is a need to integrate the agency's
knowledge, best practices and tools into one
comprehensive guide.
Our City Plans offers a unique global framework
to guide city leaders and urban planners to carry
out integrated urban planning processes, from
the assessment to the implementation phase.
Through a process framework rather than a design
framework, and building on the vast experience of
UN-Habitat in different countries, this incremental
and flexible toolbox allows local governments to
tailor the planning process to their own context,
based on their priorities, available resources and
capacities.
I hope that this publication will contribute to the
vital work of city leaders, planners, and other urban
planning stakeholders, serving as a consolidated
guide to trigger collaboration and partnership for
participatory urban planning, and promoting equal
opportunities and a better urban future for all.

7. 7
Our City Plans is a global toolbox that guides and supports local governments and urban
actors to better understand, customise, and develop inclusive and integrated urban
planning processes, using a participatory and incremental methodology that adapts to
their needs and local context.
By guiding users through an adaptable step-by-step methodology, actionable instructions, and simple
and approachable language, Our City Plans democratises and articulates a comprehensive planning
framework developed and utilised by UN-Habitat. It focuses in promoting civic engagement and
participation in urban planning, but also incorporates cross-thematic areas such as climate action,
socio-spatial inclusion and urban finances.
Organised in 4 phases -- Assessment, Plan, Operationalisation, and Implementation -- it includes
12 thematic Blocks and 58 activities that can serve different contexts, linking them to dynamic and
innovative tools, templates and additional resources from UN-Habitat and external partners.
The comprehensive methodology allows city leaders, planners and other planning stakeholders to
customise and adapt their own journey and process by selecting specific activities, based on their
available resources and capacities, and also according to the particular scale, scope, challenges,
objectives of the planning process: from the definition of a strategic development vision and its
catalising projects, a land management plan, as well as neighbourhood scale plans and projects.
Visit our digital platform to explore the most updated toolbox and access special features!
https://ourcityplans.org/
Collaborate with us!
Contact Us
Introduction
Our City Plans digital platform aims to
become a living product and a platform for
knowledge exchange. Users are able to share
their project experiences, tools, resources,
local best practices, and connect with cities
and teams. They can bookmark specific
activities, map their progress and status with
the project management features and add
personalised notes to each activity. They
actively contribute to improve Our City Plans,
link their experiences and local expertise,
and provide feedback to keep improving the
methodology and toolbox.

8. 8
Our City Plans has been developed by a multidisciplinary team inside UN-Habitat in a collaborative effort
between different branches, sections and Regional Offices, steered by the Urban Practices Branch – Planning
Finance and Economy Section and the Global Network of Urban Labs. The toolbox is the result of UN-Habitat's
work in over 100 participatory planning processes implemented in different global contexts since 2014 by UN-
Habitat and partner organisations.
As demographic pressure keeps rising, small and intermediate cities tend to urbanise faster, facing additional
challenges. These include conflicts over land property, unplanned and unstructured territory, urban sprawl,
insufficient infrastructure and basic services provision, lack of climate action measures, poor mobility network,
etc. To absorb the rapid increase in population, cities need to identify priorities and develop integrated and
participatory planning processes, to adequately address the urgent need for sustainable urban development.
To develop urban plans successfully, planning processes need to be flexible, inclusive, and have the capacity
to adapt to the specific context they are implemented in. These need to allow technical teams and city
leaders to identify and prioritise cross-cutting areas, objectives, types of plans and activities that better adjust
to their environment.
Our City Plans consolidates the most relevant planning tools, best practices and methodologies of UN-Habitat
and partners for the development of strategic, city-wide and neighbourhood planning processes. It is a key
resource for UN-Habitat, as it links a variety of tools from the agency and promotes integration of other tools
from external partners. The methodology's success and contribution to the field is reflected on its demand – it
is the 3rd most downloaded publication of UN-Habitat.
The first version of Our City Plans was launched at WUF10 in February 2020, formerly called PIUP – Participatory
Incremental Urban Planning toolbox. A second version was published in 2021 and a third one in 2023. The
digital platform was launched in WUF11 in 2022. The dissemination of the toolbox has created an Our City Plans
global community that continuesd to grow globally.
Background and context
Participatory Mapping in Gorongosa, Mozambique, UN-Habitat

9. 9
City leaders
Lead and oversee the strategic steps of the urban
planning process
• Align your city strategy to global agendas and
international standards
• Provide a strategic overview of the whole planning
process and the critical activities you should be
involved in
• Have a clear understanding of the key deliverables
(and the importance of citizens' participation in urban
planning processes.
• Access a global community of practice and connect
with companies, organisations, private sector,
investors and technical experts.
City planners
Technical development of the urban planning process
and planning documents
• Guide the step-by-step implementation of a
participatory and sustainable urban planning process
that adapts to your needs and context.
• Align your planning process to meet the requirements
of international standards and global agendas.
• Explore and deepen on the specific topics and urban
issues that are important for your city
• Promote participatory processes and stakeholder
engagement throughout the planning process.
• Be part of a global community of practice and share
knowledge and experiences with cities around the
world.
Other urban stakeholders
Provide accountability, disseminate and support inclusive
urban planning processes
• Identify the critical steps that influence urban policies,
programmes, plans and projects
• Understand how your city is planned and how it
should involve various stakeholders
• Identify activities and tools that support planning
processes in your city
How can Our City Plans help you?
Workshop in Ningo Prampram District,
Ghana, UN-Habitat
Participatory Mapping in Gorongosa, Mozambique, UN-Habitat
Participatory Mapping in Bubaque, Guinea Bissau, UN-Habitat

10. 10
A customisable and adaptable urban
planning process
The process
The Our City Plans guides users through the crucial steps needed to develop an inclusive and sustainable
urban planning process. It is modularly structured into 4 phases — Assessment, Plan, Operationalisation
and Implementation —, 12 blocks, and 58 activities.
Phase 1. Assessment
This phase aims to understand and assess the context and the territory in which the plan will be
developed, including the current planning and legal frameworks, the available resources, and
the plan and process objectives. A tailored participatory process is then established, supported
by a strong stakeholder engagement. Finally, an analysis and diagnostic are elaborated to
understand the territory, its opportunities and challenges, that will be integrated into the plan.
Phase 2. Plan
The objective of the second phase is to develop a common vision, a set of strategies and strategic
projects that provide spatial and technical support to the future planning of the city. This phase
includes three levels of spatial plans: the strategic development plan, the land management
plan, and the neighbourhood plan, which can be developed independently or together. The
plans are the result of multiple consultations between the technical team, the local government,
the key stakeholders and the community. They address the challenges identified during the
analysis and diagnostic block and provide solutions at different levels of detail.
Phase 3. Operationalisation
The objective of the third phase is to set a series of actions and enable mechanisms to facilitate
the plan implementation. Land, financial, institutional and legal aspects of the plan are reviewed
in depth to define a clear and effective policy framework for the plan implementation.
Phase 4. Implementation
Once the urban plan is adopted as a legally binded document, the Implementation phase aims
to put in place all the mechanisms needed to execute the strategic actions and projects of the
plan, as well as guide the future urban development.

11. 11
The toolbox recognises the importance of defining a process framework rather than a design
framework in urban planning. It is incremental and flexible, as it allows planners, city leaders, and
other stakeholders to tailor their planning process according to their context. They can choose whether
to run the entire process or focus only on specific outputs, depending on their scope, resources and
priorities. Additionally, as blocks and activities are modular, they can be selected and bookmarked
according to the local conditions and available resources, creating simplified or more comprehensive
paths. Various activities can be conducted independently or simultaneously with others, depending on
the expertise of the technical team and the availability of time and resources.
The customised planning process is supported by a filter feature integrated into the digital platform, in
which users can choose a focus areas to help them select the activities from the toolbox.
Participation: Include diverse stakeholders, sectors, and perspectives to improve and
make more inclusive the urban planning process and results.
Climate action: Incorporate an approach to combat climate change and its impacts,
integrate adaptation measures into urban planning processes, and strengthen the
adaptive capacity to climate-related hazards.
Spatial inclusion: Reduce spatial inequalities by promoting the even distribution of basic
urban services, quality public spaces, affordable housing, and livelihood opportunities.
Urban finance: Consider financing components and mechanisms throughout the
urban planning process, to strengthen municipal finances and promote the successful
implementation of plans.
Additionally, Activity 4 - Programming the Planning Process describes how to customise and adapt
the methodology to the specific context as an exercise to align different stakeholders and identify the
objectives, key output and activities to develop. Our City Plans toolbox provides guidelines to develop
and implement urban plans with different levels of details, scales and scopes:
• Strategic Development Plan: Develop a city-wide plan by defining a participatory future vision,
goals, and targets, spatial development strategies, and strategic projects.
• Land Management Plan: Develop a regulatory spatial document that translates the spatial
strategies into a detailed land use and management plan. It is also called comprehensive
development plan.
• Sectoral Plan: Thematic plans that focus on specific components of the overall city land
development, such as mobility infrastructure, water and sewage management, natural resources
protection, informal settlements regeneration, etc.
• Neighbourhood Plan: Develop a plan for a specific neighbourhood or area of the city.
Customising urban planning processes

12. 12
PLAN
LAND MANAGEMENT PLAN
PARTICIPATION
SET-UP ANALYSIS AND DIAGNOSTIC
STRATEGIC DEVELOPMENT PLAN
Sectoral
Plan
Presentation
and validation of
results
Land Use Maps
and indicators
Land
strategies
Urban Development Guidelines
Toolbox Composition
Blocks.
Each block focuses on a specific topic
of the planning process and has a clear
outcome (participatory strategy, Terms
of References, plans, etc.). Each block is
divided into activities.
Phases.
this methodology describes the urban planning
process with four main phases: assessment,
plan, operationalisation and implementation.
Each phase is divided into thematic Blocks.
Activities.
Blocks are broken down into different
activities to facilitate the adoption
of participatory, inclusive and
sustainable practices.
User guide

13. 13
32
32
Define the objective and scope for the planning process,
the responsibilities of the project team and partners, the
expected deliverables, the work plan and the project's
budget.
- Project guiding document (Terms of Reference / Project Document)
Guiding Document Template Project Budget Tempelate Work Plan Template Environmental and Social Screening Report Template
A guiding document describing the main objective and the expected accomplishments of the planning process is developed based on the outputs of Block A Contextualisation. This document is also called Terms of Reference (ToR). It may have different components and
levels of detail depending on the expectations of the partners and the local government, and the capacities of the project team. It can include the project justification, the context and background, the project's objective, the team members' expertise and responsibilities, the deliverables, the intended participation strategy, the planning process activities, the work plan, and the budget. Further information can be incorporated as annexes.
The guiding document represents the contract agreement with the stakeholders. To develop the document, the content is first
discussed in a series of meetings with the local government and other key potential stakeholders. As a last step, the team will assess
the project risks using the T10 Environmental and Social Screening Report Template for the urban planning process, to be annexed to
the guiding document. Then, the preliminary technical team consolidates a first draft that is shared with the local government for their
revision and feedback. Once the document is refined and validated, all the parties involved in the planning process sign the contract.
Review the outputs of Block A Contextualisation, particularly the legal framework, the available budget and the preliminary work
plan. Organise a brainstorming and discussion session with the local government and, if needed, with key potential partners and stakeholders. Draft a first version of the document and any required annexes (T9 Guiding Document Template). Fill T10 Environmental and Social Screening Report Template for the planning process and annex to the Guiding Document. Share it with the local government to gather their feedback and comments. Revise the document and incorporate any changes. Validate the final document and have it signed by all the parties.1.

2.
3.
4.
5.
6.
7.
- SDG Project Assessment tool
- Urban Planning for City Leaders
Objective Results
Tools
Description
References
Steps
T9
T5
T8
T10
Guiding Document
2 Weeks
Participation
05
ACTIVITY
Activity number.
Each activity has a number.
This numeration is continued
throughout the blocks and 4
phases, to facilitate the use
of Toolbox.
Additional resources.
The Toolbox draws upon several linkages, with
complementary manuals, guidelines, tools,
publications and case studies, developed by UN-
Habitat and external partners. Hence, every user is
free to deepen on specific topics and challenges,
following the lessons learned from the Agency.
Tools.
User-friendly tools are
included in pdf at the
end of the publication,
as well as the links to the
online versions so teams
can download and edit
them according to their
needs. Not all the tools
are mandatory and some
tools support various
activities. The technical
team can select which are
the most adequate tools to
use, considering the level
of complexity and their
capacities.
Objective and results.
At the beginning of each
activity, the objective and
the results of the activity
are described, highlighting
specific outputs.
Steps.
A list of simple steps to
follow linking with specific
tools, facilitates the activity
execution.
Description.
The description guides the
users and provides key
concepts.
Thematic areas.
It indicates the thematic areas
(Climate action, Participation, Socio-
spatial inclusion and Urban finance)
that are embedded in the activity
Time.
It indicates the approximate
amount of time required to finalise
the activity. However, this is just as
estimation because the duration
varies according to the available
resources, team capacities,
adjusted objectives, etc.

14. 1414

CONTEXTUALISATION
ASSESSMENT PLAN
OPERATIONALISATION IMPLEMENTATION
PROJECT
PREPARATION
NEIGHBOURHOOD PLANPROJECT PRIORITISATION LAND MANAGEMENT PLAN
IMPLEMENTATION MECHANISMSMONITORING AND EVALUATION
INSTRUMENTS
FOLLOW-UP STRATEGY
PARTICIPATION SET-UP
ANALYSIS AND DIAGNOSTIC
STRATEGIC DEVELOPMENT PLAN
Human and Physical Resources Review
Financial
Resources
Review
Communication
Strategy
Field
Research
Analysis
Validation and
Diagnostic
Workshop
Presentation and validation of results
Sectoral
PlanNeighbourhood
Plan and Design
Participatory
prioritisation
workshop
Environmental and Social
Impact Strategy for the
Neighbourhood Plan
Neighbourhood
Planning
Workshop
Neighbourhood
Projects and
Interventions
Presentation and validation of resultsPresentation and validation of results
Project Technical Prioritisation
Governance and management instruments
Action plan
Monitoring and evaluation framework
Plan approval
Evaluation of the Plan’s Projects and Actions
Scenario Building
Strategic Visioning Workshop
Urban
Development
Structure
Formulation of
strategies and
initiatives
Spatialisation of the Strategic Vision
Development
Zones
Strategic
Projects
Workshop
Environmental and
Social Impact
Strategy for the City
Land Use Maps
and indicators
Detailed Data
Gathering and
Analysis
Guiding document
Participation and Committees Formation
Resource
Mobilization
and Project
Office
Project
Preparation
Land
management
instruments
Presentation and validation of results (Action Plan)
Resource
mobilisation
Socialisation, feedback
and learning
mechanisms
Implementation
Work Plan
Project
management
Incremental
improvements to the
planning process
Monitoring and
evaluation strategy
Financial
instruments
Legal
Framework
Review
Environmental
and Social
Development
Impact Plan Analysis
Participation
Plan
Self-
assessment
workshop
Desk Research
Public
Launch of
the Planning
Process DiagnosticDiagnostic
Land
strategies
Urban Development Guidelines
Economic
Impact
Analysis
Development of strategic project sheets
Presentation of results (project prioritisation)
Legal instruments
Implementation of
the Plan’s Projects
and Actions
J K L

15. 1515


Visit our digital platform!
CONTEXTUALISATION
ASSESSMENT PLAN
OPERATIONALISATION IMPLEMENTATION
PROJECT
PREPARATION
NEIGHBOURHOOD PLANPROJECT PRIORITISATION LAND MANAGEMENT PLAN
IMPLEMENTATION MECHANISMSMONITORING
AND EVALUATION
INSTRUMENTS
FOLLOW-UP STRATEGY
PARTICIPATION
SET-UP ANALYSIS AND DIAGNOSTIC
STRATEGIC DEVELOPMENT PLAN
Human and
Physical
Resources Review
Financial
Resources
Review
Communication
Strategy
Field
Research
Analysis
Validation and
Diagnostic
Workshop
Presentation
and validation
of results
Sectoral
PlanNeighbourhood
Plan and Design
Participatory
prioritisation
workshop
Environmental and Social
Impact Strategy for the
Neighbourhood Plan
Neighbourhood
Planning
Workshop
Neighbourhood
Projects and
Interventions
Presentation and validation of resultsPresentation and validation of results
Project Technical Prioritisation
Governance and management instruments
Action plan
Monitoring and evaluation framework
Plan approval
Evaluation of the Plan’s Projects and Actions
Scenario Building
Strategic Visioning Workshop
Urban
Development
Structure
Formulation of
strategies and
initiatives
Spatialisation of the Strategic Vision
Development
Zones
Strategic
Projects
Workshop
Environmental and
Social Impact
Strategy for the City
Land Use Maps
and indicators
Detailed Data
Gathering and
Analysis
Guiding document
Participation and Committees Formation
Resource
Mobilization
and Project
Office
Project
Preparation
Land
management
instruments
Presentation and validation of results (Action Plan)
Resource
mobilisation
Socialisation, feedback
and learning
mechanisms
Implementation
Work Plan
Project
management
Incremental
improvements to the
planning process
Monitoring and
evaluation strategy
Financial
instruments
Legal
Framework
Review
Environmental
and Social
Development
Impact Plan Analysis
Participation
Plan
Self-
assessment
workshop
Desk Research
Public
Launch of
the Planning
Process DiagnosticDiagnostic
Land
strategies
Urban Development Guidelines
Economic
Impact
Analysis
Development of strategic project sheets
Presentation of results (project prioritisation)
Legal instruments
Implementation of
the Plan’s Projects
and Actions
J K L

16. 16
International agendas and guidelines
Before starting the planning process, it is important to take into consideration some of the global
reference documents for sustainable urban development. They will guide planners and decision-
makers to develop a plan which promotes compact, socially inclusive, safe, spatially integrated and
connected cities and territories that foster sustainable urban development and resilience to climate
change.
Before starting the planning process...
2030 Agenda and the Sustainable Development Goals
Link: https://sustainabledevelopment.un.org/
The 2030 Agenda was adopted by the General Assembly of the United Nations
in September of 2015 in New York. It provides a global blueprint for dignity, peace
and prosperity for people and the planet, now and in the future. The Sustainable
Development Goals (SGDs), which are an urgent call for action by all countries —
developed and developing — in a global partnership, are at the centre of this Agenda.
They recognize that ending poverty and other deprivations must go hand-in-hand
with strategies that improve health and education, reduce inequality, make cities
and communities sustainable and spur economic growth – all while tackling climate
change and working to preserve our oceans and forests.
The Sustainable Development Goals are interconnected and based on the "Leave
no one behind" principles. The 17 Sustainable Development Goals and 169 targets
are integrated and indivisible, demonstrating the scale and ambition of this new
global Agenda that balances the social, economic and environmental dimensions
of sustainable development. Among them, SDG 11 is explicitly addressed to cities and
human settlements.
SDG 11: cities and human settlements inclusive, safe, resilient and sustainable
Link: https://sdgs.un.org/goals/goal11
In order to achieve these goals, leaders and other actors must find sustainable
solutions to major urban issues of social and economic development, housing,
infrastructure and services, and environmental management. All the SDGs are crucial
for urban development, and their targets and indicators (when relevant for the local
context) should be part of the monitoring and evaluation framework of urban plans.
The International Guidelines on Urban and Territorial Planning (IG-UTP)
Link: https://unhabitat.org/international-guidelines-on-urban-and-territorial-planning
The International Guidelines on Urban and Territorial Planning (IG-UTP) intend to
constitute a global framework for improving policies, plans and designs for more
compact, socially inclusive, better integrated and connected cities and territories that
foster sustainable urban development and are resilient to climate change.
The main objective of IG-UTP is to promote key urban and territorial planning principles
into the planning and design of cities and territories.

17. 17
Why are SDGs important for Local Governments?
• Provide a shared narrative of sustainable development and help guide the public’s understanding of
complex challenges.
• Provide an integral framework for sustainable development at local level.
• Integrate local challenges in a global framework.
• Represent a commitment of Local Governments with the global agenda, promoting their recognition and
legitimacy as key actors of the global sustainable development system.
• Recognise Local Governments as key actors for sustainable development, and enable them to claim for
better policy and development frameworks at the national level.
• Mobilise domestic and international financial resources for local sustainable development.
• Mobilise capacity building initiatives focusing on the reinforcement of Local Governments’ operative and
institutional capacities.
• Reinforce statistical institutions specialised in collecting data at local and regional level.
• Represent a roadmap for decentralised cooperation.
New Urban Agenda
Link: https://unhabitat.org/the-new-urban-agenda-illustrated
The New Urban Agenda (NUA) was established in October 2016, in the United Nations
Conference on Housing and Sustainable Urban Development (Habitat III) which was
held in Quito, Ecuador. It provides a global framework for achieving sustainable urban
development and its objective is to enhance the cities as a solution to the challenges that
our world is facing today, based on three transformative commitments:
• Sustainable urban development for social inclusion and ending poverty
• Sustainable and inclusive urban prosperity and opportunities for all
• Environmentally sustainable and resilient urban development
The realisation of the transformative commitments requires effective implementation
mechanisms, that enable policy frameworks at the national, subnational and local levels,
integrated by participatory planning and management of urban spatial development
and effective means of implementation, complemented by international cooperation as
well as efforts in capacity development, including the sharing of best practices, policies
and programmes among Governments at all levels.
The New Urban Agenda is now also available illustrated. The handbook supports urban
stakeholders to understand and implement the NUA. It analyses the contents of the New
Urban Agenda and the synergies with the Sustainable Development Goals and Targets,
and enriches them with visual illustrations, examples from all over the world and practical
propositions for action.

18. 18
UN-Habitat's Five Principles for Sustainable Neighbourhood Planning
Link: https://unhabitat.org/a-new-strategy-of-sustainable-neighbourhood-planning-
five-principles
Adequate space for streets and an efficient street network
This principle aims to achieve connectivity throughout the city and
neighbourhood, not only addressing vehicles and public transport but also
including adequate and safe infrastructure for non-motorized modes of
transport, such as cycling and walking. The street network should occupy at
least 30 per cent of the land and at least 18 km of street length per km².
Adequate density and compact city
This principle aims to prevent urban sprawl due to rapid population growth
and urbanisation. Sustainable cities should aim at achieving higher densities,
without reducing the amount of land reserved for public spaces. An adequate
population density should be calculated according to the specific territory
and context. Nonetheless, at least 15,000 people per km2, 150 people/ha or 61
people/acre is recommended.
Mixed land use
This principle aims to have land uses and activities that are varied, compatible,
and flexible enough to adapt over time in the same neighbourhood. This way,
people can live, work and access different opportunities and services within a
smaller range of area. A related concept is promoting the 15 minutes city, in
which residents can access all the amenities they need within 15 minutes from
their home by walking or biking. It is recommended that at least 40 percent of
floor space should be allocated for economic use in any neighbourhood.
Social mix
This principle aims at achieving communities that have socio-economic
diversity, in order to achieve social cohesion, integration, and interaction
between different social classes. This can be achieved by having available
a wide variety of types of housing, in different price ranges and tenures. It is
recommended to have 20 to 50 percent of the residential floor area of low-cost
housing; and each tenure type should be not more than 50 per cent of the total.
Limited land-use specialisation
This principle aims to limit single function blocks or neighbourhoods in order
to promote mixed land-use and a vibrant and active neighbourhood. It is
recommended that single function blocks should cover less than 10 percent of
any neighbourhood.

19. 19
Workshop in Dame Marie, Haiti, UN-Habitat

20. ASSESS-
MENT

21. ASSESS-
MENT
01
BLOCK A. CONTEXTUALISATION
BLOCK B. PROJECT PREPARATION
BLOCK C. PARTICIPATION SET-UP
BLOCK D. ANALYSIS & DIAGNOSIC
Where are we now?
This phase aims to understand and assess the context and the territory
in which the plan will be developed, together with the current planning
frameworks, in order to define the most suitable urban planning process.
The internal and external resources available for the project are reviewed,
along with the constraints of the local government in terms of time, budget,
expertise, territorial ownership and stakeholder engagement. Based on the
results, the plan's objectives and constraints are defined. Then, a tailored
participatory process is established to ensure the achievement of the
objectives with a sustainable, resilient, inclusive, and impact-oriented
approach, supported by a strong stakeholder engagement. Finally, an
analysis and diagnostic will be elaborated to understand the territory, its
opportunities and challenges, that will be integrated into the plan.

22. A

23. The Contextualisation Block aims to develop an evaluation of the current conditions and available
resources that impact the urban planning process. Both internal and external resources are reviewed,
including physical, human, information and financial components and mechanisms, as well as legal
aspects, partnerships and key stakeholders. The output of this Block is an urban planning process
roadmap and work plan that identifies which activities of the Our City Plans should be conducted.
The incremental nature of this methodology is due to the flexibility to adapt and be customised
according to the available resources and local context. This preliminary Block is conducted by the
project lead and other potential members of the core technical team.
A
BLOCK
Contextualisation
4.
Programming the
Planning Process
4 tools
1 day
1.
Human and Physical
Resources Review
1 tool
1 week
2.
Legal Framework
Review
2 tools
1 week
1 tool
1 week
Urban Finance
3.
Financial Resources
Review
Participation

24. 24
24
ACTIVITY
01
Review the existing available resources to sustain the
urban planning process in terms of human resources, data,
equipment, expertise, stakeholders and partners, and identify
critical gaps and potential support sources.
- Cultural, historical, political and background research on
the context.
- Formation of a preliminary project team and identification
of partners.
- List of available resources (data, physical, and human).
List of Minimum Required Expertise and Partners
Human and Physical
Resources Review
This activity allows the project promoter to identify the human resources available to form a preliminary project team, and further
experts and organisations that will potentially support the project. This preliminary project team will be responsible for the next activities,
including the elaboration of the Guiding Document and the formation of the Project Office.
Before starting any urban planning process, the preliminary technical team must define the local context in terms of culture,
demographic trends, biophysical environment, and historical background. Secondly, it identifies existing maps and data as well as the
availability, sources, and potential costs of acquiring missing relevant information (especially cartography and demographic data),
equipment, and physical resources (office space, internet connection, computers, software licences, etc.) needed for the planning
process.
Consult T1 List Minimum Required Expertise and Partners tool to understand what are the basic requirements to conduct a planning
process adequately. If the resources are insufficient, they can be completed at a later stage depending on the available budget,
by capacitating the internal team, hiring experts, buying any missing equipment, or asking external stakeholders for support. While
identifying key partners and alliances for this initial stage, political support must be ensured. The preliminary project team should
involve political champions and key representatives of the public sector.
1 Week
Identify key experts, both internal and external, to involve in the planning process.
Identify key political champions and decision-makers representatives to involve in the planning process.
Form a preliminary technical project team.
Do a preliminary research on the demographic trends, biophysical environment, cultural and historical background of the local
context.
List and evaluate the availability, reliability, quality and relevance of data (consult Block D Analysis and Diagnosis for reference).
List and evaluate the availability of equipment and physical resources.
Define any missing resources that should be addressed in the project document elaboration and the resource mobilisation
activities.
1.
2.
3.
4.
5.
6.
7.
Objective Results
Tools
Description
Steps
T1

25. 25
Understand the legal planning framework at the national,
sub-national and local level, the legal requirements for the
plan approval, and review existing planning documents.
- Legal planning framework and institutional structure of the
urban planning system
Urban Legislation Assessment Matrix of References
Objective Results
Tools
T2
T3
Make a scheme of the institutional structure of the national, regional, and local planning system (T2 Urban Legislation
Assessment).
Review all the existing planning instruments and documents at national, regional and local scales.
Analyse the cataster or any existing documents related to land ownership and management.
Review some of the international urban planning frameworks and compile T3 Matrix of References.
If possible, complete the Planning Law Assessment Framework.
If possible, assess the current city Plan with the Plan Assessment Tool for Rapidly Growing Cities.1.
2.
3.
4.
5.
6.
- Planning Law Assessment Framework
- City-scale Plan Assessment Tool
- Economic Foundations for Sustainable Urbanisation: A Study on Three-Pronged Approach
- Social Tenure Domain Model
- City Prosperity Initiative
- Rapid Financial Assessment for Planned City Extension (PCE)
- 2030 Agenda and the Sustainable Development Goals
- New Urban Agenda Illustrated
- New Urban Agenda
- The International Guidelines on Urban and Territorial Planning (IG-UTP)
- International Guidelines on Urban and Territorial Planning (IG-UTP) Handbook
Description
Additional resources:
Steps
Legal Framework
Review
02
1 Week
ACTIVITY
The technical team will examine the current urban legal framework and the institutional structure and the political champions and
decision-makers representatives of the urban planning system. After that, they will review the existing planning documents, key actors
and institutions to be involved and the minimum requirements to develop a plan to ensure alignment between the international,
national, regional and local agenda. This step is crucial, as Our City Plans approach does not substitute any local planning system.
Instead, it supports and integrates UN-Habitat's recommendations into the existing local framework, ensuring inclusive, strategic, and
cost-effective processes. .

26. 26
26
PHASE 1: ASSESSMENT BLOCK A: CONTEXTUALISATION
The legal framework is an important element to consider when seeking to advance efficient disaster risk reduction and climate
action, specially to align national disaster risk management and climatepolicy and regulatory frameworks with strategical plans and
agreements such as the Nationally Determined Contributions, the Sendai Framework for Disaster Risk Reduction and the Paris Agreement.
For this, existing regional, national and local legal resources should be identified. Some may focus specifically on climate change (e.g.
climate change acts), disaster risk reduction (e.g. National Risk Strategy) while others may have a broader scope but include disaster
risk reduction and/or climate elements (eg. policies related to energy and water). This step will furtherly help to determine which actions
at local level might best contribute to local and national resilience goals, particularly those that are incorporated into legal documents
related to disaster risk response, climate mitigation and adaptation.
Additional resources:
- Law and Climate Change Toolkit
Climate Action
Jeremie, Haiti, UN-Habitat

27. 27
Assess the current financial situation, define the available
budget to finance and fund the plan development and
implementation, and identify any gaps and potential sources.
- Financial assessment of the city
City's Financial Assessment Guide
Financial Resources
Review
During this activity, the preliminary technical team analyses the financial health of the city to understand how robust the budget is. They
will fill the T4 City's Financial Assessment Guide (a tool inspired by the Municipal Financial Self-assessment Framework proposed by the
World Bank) to review municipal finances. This detailed review will examine revenue streams, expenditures, cash balances, indebtedness,
capital investments, and tax potential and performance. Once the financial landscape has been clearly mapped, a preliminary project
budget will be drafted. Additionally, the team maps any gaps and challenges that could impact the project's implementation and plan
long-term outcomes, and consider any financial sustainability mitigation measures.
Building on the insights gained from the City’s Financial Assessment, this activity also lays the groundwork for future steps in the project
development process. It serves as a critical juncture to determine whether there is a need to mobilise additional resources or employ
innovative financial mechanisms to achieve project goals. To further aid in this determination, a catalogue of potential revenue-generating
mechanisms can be found in Block I Instruments, as well as a Resource Mobilisation activity in Block K Implementation Mechanisms.
These tools aim to provide a holistic financial strategy that addresses not only immediate project needs but also long-term sustainability.
1 week
Review the recommended literature. Assess the availability of financial resources (T4 City's Financial Assessment Guide). Map any potential gaps and challenges in financing and funding the planning process and plan and project implementation, as well as possible mitigation measures. Research about the current administrative and institutional context in regards to land and property taxation and access to external sources of financing (loans, subsidies, etc.). Follow-up with these steps and actions along the planning process.1.
2.
3.
4.
5.
Objective Results
Tools
Description
Steps
T4
- Municipal Finances, A Handbook for Local Governments (2014)
-
Municipal Financial Analysis Framework (1984)
- Guide to Municipal Finance (2009)
- Financing Metropolitan Governments in Developing Countries (2013)
-
Financing Local Governments (2008)
- Public Finance in Theory and Practice (1989)
- Local Public Finance and Economics (2019)v
References
03
ACTIVITY

28. 28
Programming the Planning
Process
Self-Assessment Template
Workshop Checklist
Work Plan Template
Our City Plans Roadmap
The self-assessment workshop is a collaborative session to create alignment between stakeholders and define the roadmap of the
urban planning process, according to the planning objectives and the capacities of the local government and the potential partners and
stakeholders. Specifically, it aims to assess the project constraints such as time, budget, internal capacities, stakeholder engagement,
and territorial ownership, and to select the activities of the Our City Plans methodology that will be conducted.
The Self-Assessment Guide includes a serie of guiding questions that helps the technical team to define the planning objectives,
focus areas, and priorities of the plan and to support a further discussion to align all the stakeholders' ambitions for the urban planning
process.
The session is divided into three main moments. Firstly, the group defines the context of the urban planning process, including the
project's objective, key challenges and opportunity, urban area of interest, and crucial partners and stakeholders that should be
involved along the process. Secondly, a questionnaire is included to guide the selection of activities to be developed according to
the issues to be addressed, the components of the Assessment phase and the type of plan to be developed, the results and all the
phases, blocks, and activities in the toolbox, and the cross-cutting thematics areas that need to be integrated. Finally, they evaluate
and discuss the available resources, in terms of time, budget, internal capacities, territorial jurisdiction, and stakeholder engagement,
and select the final activities and tools to prepare a preliminary work plan.
This activity can take place in two stages. First, the preliminary project team defines, based on the knowledge of the context and
objectives, the roadmap for the planning process. Then, there is a validation moment with key stakeholders, such as the planning
process sponsors, political leaders and municipal officials. It is important to include in this activity decision-making representatives,
political champions, potential investors or donors, stakeholders with high levels of power and affinity to the project, and potential
opponents of the project, as it is a moment of alignment between the different actors to agree on the objectives of the planning
process and how to carry it out.
Throughout the planning process and the use of this toolbox, it is important to reflect on what works and what can be improved for the
next time, as well as which activities and tools need to be modified and adapted according to the context and requirements. To this
end, the last activity of Phase 4 Implementation: Incremental improvements to the planning process (Activity 58) includes a guide-
to reflect on and document improvements that can be applied to the process and methodology
In a participatory session, define the activities and work plan
for the urban planning process, according to the context,
objectives, and available physical, human, and financial
resources.
- Definition of the toolbox activities and workplan that will
be carried out to develop the plan, according to the local
context, objectives, and available human, physical and
financial resources.
- Preliminary project work planT6
T7
T8
T0
1 Day
Participation
04
WORKSHOP
Objective Results
Tools
Description
This activity should be conducted by the preliminary project team and other key stakeholders such as the planning process sponsors,
political leaders and municipal officials. Particularly, it is important to include decision-making representatives, political champions,
potential investors or donors, stakeholders with high levels of power and affinity to the project, and potential opponents of the project.
Target stakeholders

29. 29
PHASE 1: ASSESSMENT BLOCK A: CONTEXTUALISATION
29
PHASE 1: ASSESSMENT BLOCK A: CONTEXTUALISATION
Review and follow the workshop guidelines in the T7 Workshop Checklist tool.
Use the T6 Self-Assessment Guide tool and T0 Our City Plans Roadmap to have a discussion and agree on common objectives
Set out the schedule of activities for the planning process.
Develop a work plan including all the activities to be carried out and define a tentative timeline (T8 Work Plan Template).
Present the results to key stakeholders for feedback and/or validation. This can be done through a workshop (Prepare the
workshop session using T7 Workshop checklist).1.
2.
3.
4.
5.
References
- SDG Project Assessment Tool
- Urban Planning for City Leaders
Steps
Agenda:
An agenda of the workshop should be presented by the team leader and made available for all participants to understand the development
of the session. The time, length of each exercise and content adjustable to the cultural context and the availability of the participants.
08.00 Registration and breakfast
08.30 Opening by the Mayor or the project manager followed by a presentation of each participant
09.00 Plenary Session 1: Context of the urban planning process and city plan’ objectives
09:45 Open discussion
10.00 Coffee break
10.15 Plenary Session 2: Questionnaire
11.00 Open discussion
11.15 Plenary Session 3: Assessing table
12.00 Open discussion
13:00 Lunch break
15:00 Plenary Session 4: Work plan
16:00 Consolidate results and closing remarks

30. B

31. The Project Preparation Block aims to define the objectives of the urban planning process and the
responsibilities of each stakeholder. Specifically, the project team elaborates a guiding document that
establishes the terms of collaboration with the different partners of the project and institutionalises
the roles of the stakeholders involved. The Project Preparation Block consolidates the agreements
and discussions of the previous activities. Finally, the guiding document indicates if further resources
and personnel are needed to establish the project office and start the project.
B
BLOCK
Project Preparation
5.
Guiding Document
4 tool
2 weeks
6.
Environmental and
Social Development
Impact Plan (DIP) for
the Planning Process
1 tool
3 days
Socio-spatial inclusion
Climate action
1 -2 weeks
Urban Finance
7.
Resource Mobilisation
and Project Office
Participation

32. 32
32
Define the objective and scope for the planning process,
the responsibilities of the project team and partners, the
expected deliverables, the work plan and the project's
budget.
- Project guiding document (Terms of Reference / Project Document)
Guiding Document Template Project Budget Tempelate Work Plan Template Environmental and Social Screening Report Template
A guiding document describing the main objective and the expected accomplishments of the planning process is developed based on the outputs of Block A Contextualisation. This document is also called Terms of Reference (ToR). It may have different components and levels of detail depending on the expectations of the partners and the local government, and the capacities of the project team. It can include the project justification, the context and background, the project's objective, the team members' expertise and responsibilities, the deliverables, the intended participation strategy, the planning process activities, the work plan, and the budget. Further information can be incorporated as annexes.
The guiding document represents the contract agreement with the stakeholders. To develop the document, the content is first
discussed in a series of meetings with the local government and other key potential stakeholders. As a last step, the team will assess
the project risks using the T10 Environmental and Social Screening Report Template for the urban planning process, to be annexed to
the guiding document. Then, the preliminary technical team consolidates a first draft that is shared with the local government for their
revision and feedback. Once the document is refined and validated, all the parties involved in the planning process sign the contract.
Review the outputs of Block A Contextualisation, particularly the legal framework, the available budget and the preliminary work plan. Organise a brainstorming and discussion session with the local government and, if needed, with key potential partners and stakeholders. Draft a first version of the document and any required annexes (T9 Guiding Document Template). Fill T10 Environmental and Social Screening Report Template for the planning process and annex to the Guiding Document.
Share it with the local government to gather their feedback and comments. Revise the document and incorporate any changes. Validate the final document and have it signed by all the parties.1.

2.
3.
4.
5.
6.
7.
- SDG Project Assessment tool
- Urban Planning for City Leaders
Objective Results
Tools
Description
References
Steps
T9
T5
T8
T10
Guiding Document
2 Weeks
Participation
05
ACTIVITY

33. 33
PHASE 1: ASSESSMENT BLOCK B: PROJECT PREPARATION
Develop a simplified plan to monitor the environmental and
social risks of the urban planning process and activities.
- Environmental and Social Development Impact Plan (DIP) for the Planning Process
Environmental and Social Development Impact Plan (DIP) Template
Objective Results
Tools
Environmental and Social
Development Impact Plan for the
Planning Process
06
The Development Impact Plan (DIP) is part of the UN-Habitat’s Environmental and Social Safeguard System (ESSS), aligned with the
safeguard system used by many international organisations, foundations, and donors. The ESSS includes a series of activities to ensure
that a robust risk and impact assessment, management and monitoring process is implemented throughout the lifecycle of different
projects, including design projects and territorial plans. This safeguard system is aimed at predicting and anticipating any adverse
effects that projects could have on the environment and the people both during its development and during its implementation in such
a way that measures can be identified to address the effects in a timely and adequate way.
According to the results of the Screening Report, the DIP is recommended for projects of low or no risk - these are non-operational
projects such as “urban planning processes”. Typically, the urban planning activities do not entail physical/infrastructure interventions,
however the activities as field mission, consultations, and data gathering may lead to environmental and social impacts or risks
that need to be considered. Therefore, the preparation of a DIP is prescribed to assess possible future impacts/risks and to lay the
groundwork for monitoring. Other specifications for E&S tasks may include E&S monitoring, management plans or the execution of a
new screening assessment for the follow-up project.  
ACTIVITY
T11
Review the Guiding Document (Activity 5) and T10 Environmental and Social Screening Report Template. Fill T11 Environmental and Social Development Impact Plan (DIP) Template for the city planning process with the minimal
content:
a) Activities to be undertaken in the urban planning process of your city/neighbourhood, b) Risk of each activity c) Timeline of the activities d) Means of monitoring
If necessary, review and adjust the work plan and budget in the Guiding Document (Activity 5). Share the finalised DIP of the Planning Process with the municipality’s sector responsible for the City Plan to review and approve.1.
2.
3.
4.
- UH-Habitat Environmental and Social Safeguard System (ESSS) 3.0
Description
References
Steps
3 Days
Climate action
Socio-spatial inclusion

34. 34
34
Mobilise the financial, human, and physical resources needed
for the planning process, considering what is established in
the Guiding Document (Activity 5). - Staff recruitment plan - Resource mobilisation plan - Organigramme of the project office
Resource Mobilisation and
Project Office
This activity focuses on mobilising all the resources needed for the development of the planning process*. A list of missing resources
is drafted based on the available resources assessment in Financial Resources Review (Activity 3) and the guiding document, and
further action to mobilise them is initiated. This relates to any financial and human resources, as well as to physical resources, such as
working spaces, information, materials, and equipment.
Financial contributions and services agreed between parties are mobilised to kickstart the process. If needed, further support from
funds and contributions can be explored, by looking for available services, international calls, fundraising, and private investments
from other partners or NGOs. Open positions with clear Terms of References should be published in the local government's website and
personnel should be hired with equal and meritocratic procedures, ensuring the diversity of the project team members. Finally, any
required equipment such as computers and software covered by the available budget should be procured.
Once financial, human and physical resources are mobilised, a project office is established. A clear organigramme with different roles
and sub-teams is defined, considering expertise areas, responsibilities, and expected accomplishments. The project leader and the
sub-team focal points are appointed considering their leadership capacity, years of experience, expertise and communication skills.
*The financial mechanisms and resource mobilisation of the initiatives and projects that result from the plan are included in Phase 3
and Phase 4.
1-2 Weeks
Urban finance
Map funding opportunities and mobilise financial resources agreed with the partners.
If needed, find additional sources of financial support, and prepare a brief summary of the guiding document to share with
them.
Publish the public positions, with clear Terms of References, to hire the missing staff.
Mobilise resources such as equipment, data, technical assistance, training, etc.
Establish a project office, possibly based in the municipality compound.
Appoint a project leader.
Develop an organigramme with clear roles for each team member.1.
2.
3.
4.
5.
6.
7.
Objective Results
Description
Steps
07
ACTIVITY
- The Challenge of Local Government Financing in Developing Countries
References

35. 35
PHASE 1: ASSESSMENT BLOCK B: PROJECT PREPARATION
Participatory Mapping in Bolama, Guinea Bissau, UN-Habitat

36. C

37. Setting-up an inclusive participation framework is the core of the Our City Plans Toolbox. This Block
aims to define the stakeholders involved, the institutional mechanisms and committees, establish the
participatory process and activities regarding technical consultations and community participation,
and set a communication strategy for the urban planning process to be successful.
Creating the structures and conditions for participatory planning processes promotes transparency
and enables the involvement of diverse stakeholders in shaping the city, neighbourhoods and
communities. It also contributes to strengthen democracy and supports the fulfilment of SGD 16:
Peace, Justice, and Strong Institutions.
Moreover, participation reduces conflicts between the local government and stakeholders with
different interests, strengthens public-private partnerships, facilitates the public approval of the
plan, and promotes active and empowered citizenship and knowledge exchange. However, there
are different levels of participation: informing, consulting, validating, collaborating, co-creating,
and decision-making. Our City Plans aims to include all levels and to work collaboratively between
government, civil society, private sector, and academia, to set common goals and priorities and
develop a plan that responds to community needs.
8.
Participation
and Committees
Formation
1 tool
2 days
9.
Participation
Plan
3 tools
1 week 1 week
10.
Communication
Strategy
11.
Public Launch
of the Project
1 tool
1 day
C
BLOCK
Participation Set-up
Participation
Participation
Participation Participation

38. 38
38
Identify key stakeholders and define a participatory strategy,
including the different roles and engagement mechanisms.
- Stakeholder list - Engagement strategy - Committees formation
Stakeholders' Mapping
Participation and
Committees Formation
Based on the human resources list identified in the Human and Physical Resources Review (Activity 1), the T12 Stakeholders'
Mapping tool helps identify potential partners and stakeholders, how to involve them, and at what stage. This tool provides a graphic
representation of the social structure around the project, considering the level of power and affinity of each individual or organisation.
There are various methods to engage with different stakeholders (interviews, focus group discussions, workshops, digital surveys, etc.),
and it is important to select the most appropriate one for each. For instance, a person with a high level of power and affinity or one
with a low affinity might be challenging to engage during a collaborative discussion, and it may be more effective to interview her/him
individually. In contrast, a workshop may be ideal to involve community members and public technical representatives.
Moreover, to guide the planning process and ensure participation from all sectors, two types of committees are formed: the steering
and the advisory committee. Both are composed of representatives of different sectors such as public, private, civil society, academia,
etc. but have different roles. The Steering Committee is involved in the decision-making and validation processes. It is composed of
stakeholders with a high level of power and affinity to the project, such as representatives from the local government, financial partners
(if any), private sector, civil society and community, and vulnerable groups. The Advisory Committee provides technical expertise and
empirical knowledge to ensure that the plan responds to different perspectives and needs. It is composed by a heterogeneous group
of experts such as members of the government, private sector, academia, NGOs, vulnerable groups and international organisations.
While the steering committee has the decisional power and approves the various steps of the planning process, the advisory
committee is substantially involved during the technical activities and workshops and supports the plan development. The election of
the steering committee and the advisory committee is based on the stakeholder mapping exercise and through the consultation of key
stakeholders and the final validation of the community. Community representation and community champions must be integrated in
the steering and advisory committee to ensure effective empowerment of the civil society.
Once it is clear who the key stakeholders are and how to involve them, the project work plan is reviewed to integrate any activities
that will increase participation and therefore improve the planning process. The level of participation of each activity is also defined:
whether it is internal (involving only the project team), participatory (including the project team and/or the advisory committee) or
public (open to the entire community).
In addition to the committees, other stakeholder groups can be created as governance and accountability mechanisms. Paragraphs
41 and 92 of the New Urban Agenda (NUA) indicate the creation of platforms and mechanisms for a wide meaningful participation
at all stages of the urban decision making processes. At the global level, World Urban Forum (WUF) is a non-legislative technical
forum convened every second year by UN-Habitat since 2002 and has strengthened its linkage with the New Urban Agenda and 2030
Agenda. Adding on to their national focus and scope, the National Urban Forums can be formed to seek their connection to the World
Urban Forum as a UN global platform linked to the NUA and other international agendas' implementation, facilitating and coordinating
country activities related to sustainable urban development.
National Urban Forums can be organised around a specific central theme, identified as crucial to country's reality or fostering urban
policies and plans formulation. Depending on the level of participation of each activity, specific technical consultations can be held
through National or Local Urban Forums.
2 Days
Participation
Objective Results
Tools
Description
T12
08
ACTIVITY

39. 39
PHASE 1: ASSESSMENT BLOCK C: PARTICIPATION SET-UP
Run a stakeholder mapping exercise (T12 Stakeholders' Mapping).
Define the stakeholders' engagement strategies and mechanisms, including integration of gender equality and women’s and
youth's empowerment.
Define the members of the steering and advisory committee and extend a formal invitation letter.
Review the work plan and define the level of participation of each activity (internal, participatory, and public).
Schedule review meetings with the steering committee and technical consultations with the advisory committee.1.
2.
3.
4.
5.
- Her City Toolbox
- Governance Assessment Framework for Metropolitan territorial and regional management
- Consul Project
- National Urban Forum Guidelines
References
Steps
Stakeholder engagement in Canaan Haiti, UN-Habitat

40. 40
40
Develop a participation plan, including specific activities,
participants involved, and outreach methods.
- Participation Plan
Participation Plan Guide Citizen Engagement Guide Work Plan Template
Participation Plan
Based on the T12 Stakeholders' Mapping and the engagement and participation strategies previously defined in the Participation
and Committees Formation (Activity 8), an actionable plan is developed to execute and guide the participatory process. In general, the characteristics, skills and abilities of the stakeholders and other participants, the socio-political climate, and the technical and logistical capabilities of the technical team should be considered to define the most appropriate plan to obtain substantial and relevant inputs for the planning process. This plan should be comprehensive and include the activities associated with committees, technical experts, communities, and the general public.
The Citizen Engagement Guide will serve as an input for the development of the Participation Plan since with it, the team should
establish the scope of the participation plan based on the three components for an inclusive and efficient participation process:
Socialisation, Consultation and Involvement. Each is described below.
Socialisation: It is considered as the starting point, since it is where the team's intention about the project is made known through
different ways.
Consultation: This is where different stakeholders are invited to validate ideas and established plans.
Involvement: Where the different stakeholders are requested to play a more active role in decision making, whether in budgetary
matters, project proposals or citizen plans. Depending on the context of the stakeholder, different groups that require specific strategies
and methods to involve and get their inputs.
The citizen engagement guide has a catalogue of actions that can be taken to carry out the three components throughout the plan.
Once the activities are clearly defined, it is important to convene and inform the stakeholders and the general public about the
participatory activities relevant to them. The outreach section of the plan should respond to the characteristics and abilities of the
population, presenting the information in a way that is accessible to all people, with particular attention to groups in vulnerable
conditions and through the appropriate communication channels for the context. This outreach plan will be integrated into the
Communication Strategy (Activity 10).
To ensure the participation of all population groups and stakeholders, especially those in vulnerable conditions, it is important to
identify the risks of the participatory process, associated with the participants’ characteristics and the context in which the urban
planning process takes place. These might include, among others, digital gap, accessibility issues, lack of interest, and distrust. Once
these are identified, mitigation strategies should be put in place to ensure an inclusive, substantial, and harmonious participatory
process that reflects and responds to the different perspectives present.
Consideration: It may be the case in some cities where the law requires a process of validation and consultation with neighbours.
However, it is considered appropriate in those cities where it is not a requirement of the planning process, to make the effort to carry
out the three components of the guide (socialise, consult and involve).
1 Week
Participation
Objective Results
Tools
Description
T13
T41 T8
09
ACTIVITY

41. 41
PHASE 1: ASSESSMENT BLOCK C: PARTICIPATION SET-UP
Review the stakeholder’s mapping exercise and the engagement strategies defined in Participation and Committees Formation
(Activity 8) to define and prioritise the participatory moments and activities.
Using the T13 Participation Plan Guide and the T41 Citizen Engagement Guide, define the logistics and technical inputs necessary
for each activity and consolidate this in the implementation section.
Align the activities with the overall work plan and adjust accordingly (T8 Work Plan Template).
Develop the outreach plan section.
Parallel to the previous two steps, analyse the risks present in the participation process and define mitigation strategies for both the
implementation and outreach plans.
Execute the plan and revise it constantly considering the challenges and learnings obtained during the process.1.
2.
3.
4.
5.
6.
Steps
- Community participation in public space and urban design projects during the COVID-19 pandemic: Experiences and reflections
from Iberoamerica and the Caribbean.
References
Participatory Mapping, Neuquen, Argentina, UN-Habitat

42. 42
42
Set a communication strategy to invite to participatory
activities, share and validate the ongoing progress of the
plan development, and establish a communication channel
to solve any public concern.
- Communication strategy
Communication
Strategy
In addition to the steering and advisory committee, the broader public must also be informed and consulted during the urban
planning process. In alignment to the Participation Plan (Activity 9), the plan development, activities, and process is continuously
communicated to the general public using different platforms and tools, such as organising digital forums, questionnaires or public
hearings. This communication is initiated by the project team.
For an adequate communication strategy it is crucial to have a clear understanding of the following: target audience, goals, channels,
tone and level of information. The target audience usually represents the general population. However, depending on the context and
the objective of the local government, other target groups that require specific communication strategies and methods may emerge,
especially reaching vulnerable groups may require special means of communication. The main goal of the communication strategy
is to inform the general public about the planning process and validate any important steps. Additional goals and objectives that may
be specific to the context (e.g. empower women and youth in decision-making processes, increase awareness of environmental topics,
etc.) can be included. The main channels for communication are the municipality web-site, social media, journals and newspapers,
physical posters, digital forums, and events. If the municipality lacks the budget to elaborate and maintain a communication strategy,
it would be ideal to seek non-financial collaborations with third parties instead of avoiding it. Qualitative communication is a key
component to embrace participation.
Finally, the tone and the level of information are also important to ensure an effective communication strategy. The language and
tone of voice are framed considering the target audience. Highly technical words may discourage engagement in the discussion, and
not enough information might create confusion and frustrations. It is worth creating a variety of articles and posts addressing specific
groups instead of a unified approach that may be too generic and not catchy.
1 Week
Participation
Objective Results
Description
10
ACTIVITY
Define the target audience, goals, channels, tone and level of information, according to the defined activities and milestones in the Participation Plan (Activity 9) and work plan (T8 Work Plan Template). Designate a communication officer or communication focal point, responsible for implementing the communication strategies. Define the media to be used. This might include creating a digital platform or social media page. Define a calendar of virtual, hybrid or in-person activities to share invitations, updates or validate steps of the process, in alignment to the urban planning process work plan. Follow up and continuously revise the communication strategies based on the planning process outputs.1.
2.
3.
4.
5.
Steps

43. 43
PHASE 1: ASSESSMENT BLOCK C: PARTICIPATION SET-UP
Communicate the start of the urban planning process to
the entire community, inviting the public to engage and
participate actively. It aims to share with the civil society the
intention of the project team and the local government.
- Project launch
Workshop Checklist
Objective Results
Tools
Public Launch
of the Planning Process
11
The launching session is the first main event of the communication strategy. The team presents the main objective of the urban
planning process, the expected outcomes, the work plan and the next steps of engagement. The steering committee, the advisory
committee, and the project team are also introduced to the public. The public launch may be an opportunity to engage with other
stakeholders and mobilise any missing human or financial resources useful for the project.
Once the project is presented, an open discussion could be facilitated to gather ideas and concerns from the public. This can result in
including additional stakeholders in the committees or mapping new participatory activities. The comments and suggestions of the
public must be taken into consideration especially if they raise any potential challenge or opportunity for the project. This shows the
intention of developing an inclusive planning process that starts from the community's needs.
ACTIVITY
T7
Schedule the session and book a location adequate to host the entire community (T7 Workshop Checklist). Communicate the event in advance and through different channels and media, established in the Communication Strategy (Activity 10). Prepare a brief presentation to introduce the project using clear and simple language. Register the participants to create a mailing list for future communications. Appoint a person to present the project and facilitate the session (involve the steering and advisory committee). Facilitate the questions and interventions, stimulating dialogue. Take notes of key points of discussion and capture pictures of the ongoing session, for reporting purposes. Before closing the session, remind participants of the following appointments and share the official communication channels.1.
2.
3.
4.
5.
6.
7.
8.
Description
Steps
1 Day
Participation

44. D

45. D
BLOCK
Analysis and
Diagnostic
In the Analysis and Diagnosis Block, key evidence and information is collected to guide the stakeholders’
decisions throughout the urban planning process. The diagnostic aims to understand the project's
context, challenges, and opportunities. The urban and territorial diagnosis focuses on developing
a ‘spatial profile' at different geographic scales. This profile depicts a shared understanding of the
territorial challenges and opportunities found in the defined planning area.
The analysis can be carried out using different tools. These include the strengths, weaknesses,
opportunities and challenges analysis (SWOT), surveys, and spatial analysis and mapping (using
existing or new data) — often aggregated in a Geographic Information System (GIS).
This Block also focuses on the participatory process, proposing various activities to engage with
the local population and diverse stakeholders, such as academia, along the planning process. As
communities have great knowledge of their surroundings, their participation is crucial to collect data
and to identify the city's main issues and the opportunities for future development.
12.
Desk
Research
1 tool
1 week
13.
Field
Research
3 tools
4-6 weeks
2 tools
2-6 weeks
14.
Analysis
15. Analysis validation and
Diagnostic Workshop
4 tools
1 day
16.
Diagnostic
1 tool
1-2 weeks
Socio-spatial inclusion Socio-spatial inclusion
Socio-spatial inclusion
Climate action Climate action
Participatory
Socio-spatial inclusion

46. 46
46
Gather existing data of the city and generate spatial
base maps needed to support the analysis and the plan
development. - Repository of existing data (literature review, existing surveys, etc.) - Maps, diagrams and data visualisations
Desk and Field Research - Maps and Data Checklist
Desk Research
1 week
Socio-spatial inclusion
Define the area of analysis and different scales of work. Set up the initial broad analysis framework or topics of investigation. Define the content list of the analysis. Review existing cartography and plans gathered during the contextualisation block. Collect data from municipal, sub-national or national offices, academic institutes and/or open source websites. Organise the data according to the themes presented in the T14 Desk and Field Research - Maps and Data Checklist. Consolidate and digitalise all the data into a single GIS database (T14 Desk and Field Research - Maps and Data Checklist). Identify the missing data that should be purchased and/or gathered in the Field Research (Activity 13). Compile different spatial base maps (T14 Desk and Field Research - Maps and Data Checklist). 1.
2.
3.
4.
5.
6.
7.
8.
9.
- GIS methodology (Saudi)
- GIS Handbook for municipalities
Objective Results
Tools
Description
References
Steps
T14
12
ACTIVITY
In the desk research activity spatial, qualitative and quantitative data is collected regarding the current conditions of the city. While the Contextualisation Block A provides a general understanding of the context and the existing planning documents, this activity
aims to gather and compile more detailed data required to analyse the city. Information at national and regional level should also be collected and analysed to understand the wider context the city is inserted in and how the various aspects and existing conditions of the surrounding area impacts the development and functioning of the city.
This activity considers information at different scales (national, regional and local/ city level) related to planning frameworks and
processes, governance and administrative boundaries, the natural environment and agriculture, demographic and social aspects,
historical and current climate trends, the built environment, mobility and transportation, basic services provision, migration trends, etc.
Usually, some data is already available in the government and institutional websites, or in the municipality offices as a soft or hard
copy. The technical team should consult all the available sources, including cartography gathered in the previous activities, open
source shapefiles, satellite images, historical pictures, climographs etc. UN-Habitat recommends using an open source Geographic
Information System (GIS) software to adopt an evidence-based approach for urban development. Whenever some data is not
available or outdated, it is worth conducting the following field research activity to produce new data. The information is then digitised
and consolidated in a single digital project. The data is then compiled into a series of spatial base maps and diagrams that describe
the current conditions of the city regarding different topics.

47. 47
Participatory Mapping in Bubaque, Guinea Bissau, UN-Habitat

48. 48
48
Collect and/or produce additional data needed for the
analysis of the city.
- New data produced through multiple activities (surveys, participatory mapping, field visit, etc.) - Maps, diagrams and data visualisations
Desk and Field Research - Maps and Data Checklist Matrix of Functions (MoF) Participatory Incremental Mapping (PIM)
Field Research
4-6 Weeks
Participation
Climate action
Socio-spatial inclusion
Review the available data gathered during the desk research activity, identify key topics and/or areas to prioritise during the field research, and consolidate the list of data to be gathered in this activity. Select the methods that will be used to conduct the field research. Identify knowledge gaps at the local level and prepare training and capacity building activities to perform before the data collection. If needed, identify a representative sample of the population or invite any relevant stakeholder from the advisory committee to conduct the activities. Prepare all the materials required to carry out the T16 Participatory Incremental Mapping. If relevant, develop T15 Matrix of Functions (MoF) to further understand the spatial structure and the land use. Organise bilateral meetings with relevant stakeholders to collect official data and additional information. Plan field visits in key areas and important locations in the city to gather more specific information. During the field research, observe, listen, take notes, save locations, and do not jump to conclusions. Compile the newly gathered data and combine it with the existing data into a series of base maps (T14 Desk and Field Research - Maps and Data Checklist ).1.

2.
3.
4.
5.
6.
7.
8.
9.
10.
- GIS Methodology
- GIS Handbook for municipalities
Objective Results
Tools
Description
References
Steps
T14
T15
T16
13
ACTIVITY
If there is limited information available, additional participatory or on-the-ground activities can be carried out to complement it. Field
research is also a useful practice to validate data that has been previously collected or to gather more detailed information of a
specific component or location. Data collection, especially on the field, should be aligned with the plan’s objective and focused on the
specific area, scale and topics of interest. Furthermore, it should also consider thematic areas relevant to the specific context, such as
coastal areas, presence of informal settlements, predisposition for tourism, vulnerability to climate change, etc.
There are different ways of conducting field research. In a reconnaissance survey, the technical team identifies on-the-ground
features or elements that are relevant for the analysis and notes them down on a base map, using appropriate software, such as GPS
tracking. Moreover, participatory activities with a group or a specific stakeholder, such as community mapping workshops, interviews,
and household surveys, provide high quality information based on the empirical experience (e.g. the identification of climate risk
hotspots by the community) and the technical knowledge of the residents and experts. This kind of exercise allows to build capacity
and knowledge to the local stakeholders and officers at city level. Lastly, high-resolution satellite imagery can be bought, or drone
imagery can be taken to increase the level of detail of the existing information.

49. 49
PHASE 1: ASSESSMENT BLOCK D: ANALYSIS AND DIAGNOSTIC
- KoBoToolbox Collect
- City-wide public space assessment guidelines
- Catalogue of Graphic References
- Rapid Planning studio
- Assessing the impact of Eviction Handbook
- Settlement Profiling Tool
References
To assess the vulnerability to climate hazards in a specific settlement or community, one of the first activities to prepare is a Climate impact chain diagram, which will be done through a participatory approach. The Climate impact chain diagram will help visualise how climate hazards and impacts are interrelated. This tool helps to shift from local impact observation (eg. “There are more power outages during the hot season”) to understand which weather-related hazard is at the root of the impact (eg. longer periods of drought).
T17 Climate Impact Chain Diagram
- Planning for Climate Change
- Climate Proofing Toolkit - CityRAP Tool City Resilience Action Planning Tool
Climate Action
Tool
Additional resources:
Luanda, Angola, UN-Habitat

50. 50
50
Using a variety of methods, interpret the data gathered to
understand the city's current urban structure, and to identify
its main features and relations with the territory and the
surrounding settlements.
- Spatial and statistical analysis - Analysis report describing the findings and outcome of the analysis
Desk and Field Research - Maps and Data Checklist Urban Expansion Projections
Analysis
Review the data gathered and the base maps. Define the key analysis to conduct, considering the available information, the objective of the plan, and the main preliminarily identified challenges in T14 Desk and Field Research - Maps and Data Checklist. Identify knowledge gaps at the local level and prepare training and capacity building activities to perform before the analysis. Calculate the population projection and the amount of land needed (T19 Urban Expansion Projections). Analyse local vulnerability to climate change (T20 Climate Vulnerability Assessment) If possible, invite some stakeholders from the advisory committee to support the analysis Work iteratively at different scales considering a variety of topics. Compile the analysis into a series of spatial maps and write a brief description for each. Consolidate all findings and maps in an analysis report.1.
2.
3.
4.
5.
6.
7.
8.
9.
- Catalogue of Graphic References
- GIS methodology (Saudi)
- Rapid Planning studio
- Rapid Planning Toolkit for Urban Expansion (The Prince's Foundation)
- Settlement Profiling Tool
Objective Results
Tools
Description
References
Steps
T14
T19
14
ACTIVITY
This activity comprises a comprehensive urban analysis at different scales (national, regional, local and city-wide), covering a variety
of aspects related to environment, resilience, prosperity, social inclusion, etc. This activity focuses on investigating the causes of the
challenges identified in previous activities, how they relate to each other and their impact on the population. The analysis should be
aligned with the plan’s objective and the specific context. A key aspect for the plan development is the calculation of the projected
population growth and the amount of land needed. Current worldwide trends of urbanisation show that there is a strong pressure
on cities in developing contexts. Therefore, any plan must consider the estimated demographic growth of the next 15 years and the
required land to accommodate it.
Spatial analysis can be conducted with a variety of methods and tools, both digital and analogical, depending on the capacities of
the technical team and the advisory committee. Analysis could be structured considering different sectors and thematic of the built
environment, e.g. public space, mobility, housing, environment etc. Starting from the base maps developed in the previous activities,
the analysis can combine and integrate different data gathered through desk and field research. A set of spatial analysis maps are
then generated to support the diagnosis and to start identifying the city's main challenges and opportunities.
2-6 Weeks
Participation
Climate action
Socio-spatial inclusion

51. 51
PHASE 1: ASSESSMENT BLOCK D: ANALYSIS AND DIAGNOSTIC
At this point, the collected data can also be used to analyse and map city-specific vulnerabilities, taking into account the exposure
and sensitivity to environmental risks, as well as the adaptive capacity that can help avert potential impacts.
The exposure to climate hazards climate change should be considered using both existing and projected climate risks to identify
the extent to which the expected population and different sectors will be affected. This can be done through a vulnerability
analysis by initially responding to the following questions: ​​How is the city exposed to climate change today and in the future? How
sensitive are your city’s people, places and institutions to this exposure? Who is most vulnerable and least able to adapt? What
sectors are most impacted?
T20 Climate Vulnerability Assessment
- Planning for Climate Change
- Climate Change Vulnerability and Risk
- Disaster Resilience Scorecard for Cities
- Common Global Reporting Framework
Climate Action
Tool
Additional resources:
Map of opportunities and challenges, Parque de la Equidad, Cancun, Mexico, UN-Habitat

52. Analysis Validation and
Diagtnostic Workshop
Workshop Checklist
Analysis and Diagnostic - Maps and Data Checklist
S.W.O.T. Analysis
Scenarios Building Narratives
1 Day
Participation
The Analysis Validation and Diagnostic Workshop is a one full-day collaborative session. It aims to complement the analysis developed
by the technical team, with on-the-ground knowledge and experience of the advisory committee. If needed, the session can extend
to two days, depending on the complexity of the context, the time availability of participants, and the capacity of the technical team.
The maps and findings are presented and there is a facilitated discussion between the technical team and the advisory committee to
identify any gaps or misleading interpretations of the data. The participants are asked to sketch and annotate on the spatial maps to
provide their comments and input.
Following, the strengths, weaknesses, opportunities and threats (S.W.O.T.) analysis is conducted. This exercise focuses on identifying the
main constraints and opportunities of the city, and results on a set of maps describing the current situation. The S.W.O.T. analysis can
be conducted in a plenary and collaborative session or dividing the participants into smaller groups.
Finally, based on the S.W.O.T participants create strategic development scenarios in a future-thinking exercise, in which current
tendencies, optimistic, and pessimistic scenarios are defined. This participatory exercise closes the Assessment Phase with an idea of
what the future could and should look like for the city, before defining the strategic vision in the next phase.
Validate the analysis developed by the technical team, identify the main challenges and opportunities of the city, and develop strategic development scenarios that will be considered in the development plan. - Validated spatial and statistical analysis maps - S.W.O.T. analysis - Strategic development scenarios - Constraints and opportunities collaborative maps
T7
T18
T21
T22
Invite the advisory committee and any further relevant stakeholders for the session.
Prepare a presentation with the spatial analysis maps and findings, the results of the vulnerability assessment (if one has been
conducted), and print the maps.
Prepare any required material for the session (T7 Workshop Checklist).
Follow the guidelines and instructions on the T21 S.W.O.T. Analysis tool to conduct the activity.
Create Strategic Development Scenarios following the instructions of the tool (T22 Scenarios Building Narratives).
Before closing the session, share the next steps of the process with the participants.
After the session, review the analysis report, the spatial analysis maps and the vulnerability assessment (if applicable), and
make changes according to the comments gathered during the session.1.
2.
3.
4.
5.
6.
7.
Technical team, advisory committee, any further relevant key stakeholders.
15
WORKSHOP
Objective Results
Tools
Description
Steps
Target stakeholders
52

53. 53
Suggested agenda:
An agenda of the workshop should be presented by the team leader and made available for all participants to understand the development
of the session. Use the provided tools to adjust the agenda according to the time, length of each exercise and content, cultural context,
and availability of participants.
08.00 Registration
08.30 Opening by the Mayor or the project manager followed by the introduction of each participant
09.00 Plenary Session : presentation of the spatial analysis maps and findings.
09:45 Open discussion on presented analysis
10.00 Coffee break
10.30 Plenary Session : identification of challenges (S.W.O.T. analysis)
13:00 Lunch break
14:00 Discussion groups: strategic development scenarios
15:00 Plenary session: presentation of the strategic development scenarios
16:00 Closing remarks
PHASE 1: ASSESSMENT BLOCK D: ANALYSIS AND DIAGNOSTIC
Participatory Mapping in Queretaro, Mexico, UN-Habitat

54. 54
54
Identify the city's key constraints, opportunities and spatial
structure.
- Constraints map - Suitability map - Spatial challenges/opportunity map - Diagnostic report / City Profile report
Constraints, Challenges and Opportunity, and Suitability Maps
Diagnostic
Review and discuss the spatial analysis maps and the outputs of the Analysis Validation and Diagnostic Workshop (Activity 15). Make a list of the key challenges and opportunities to be addressed in the plan. Consolidate maps and key information collected during the desk and field research. Follow T23 Constraints, Challenges and Opportunity, and Suitability Maps to produce the maps to produce the maps.
Conduct a validation meeting with the steering committee and the advisory committee. Compile a final report of the assessment phase in a diagnostic or a city profile report. Share the final report with the committees and publish it on the municipality or planning process website.1.
2.
3.
4.
5.
6.
7.
Objective Results
Tools
Description
Steps
T23
16
ACTIVITY
The diagnostic activity builds on the analysis report and the feedback gathered in the Analysis Validation and Diagnostic Workshop
(Activity 15). It concludes the assessment phase by defining the key topics, main findings from data collection, thematic maps,
challenges, and opportunities that the plan should address, and consolidating them in a diagnostic or a city profile report.
The technical team reviews the outputs of the previous activities, particularly the spatial analysis maps and the participatory maps
of constraints and opportunities compiled during the workshop. The team lists the main issues found and writes a brief description
of each. In the following phase, each of these issues will respond to a strategy of the plan. Then, a constraints map is produced by
localising the challenges (climate-related and non climate-related challenges) and mapping the most critical features of the city
that require prioritised intervention. (For example: high-exposed neighbourhoods to sea level rise, communities with high levels of
overcrowding, areas with poor public spaces, among others). This is the first output of the diagnosis and it is the starting point to
structure the strategic spatial plan.
The second output is the suitability map. This identifies the suitable areas for urban development and expansion (T19 Urban Expansion
Projections). A map of the city is overlapped with all the areas that require conservation and protection (agricultural land, wetlands,
natural reserved areas, water bodies, and their buffer zones) and buildable areas that are not threatened by any natural hazards or
human issues are identified. These are the zones where the projected population can be potentially accommodated.
The third output is a spatial challenges or opportunity map. This is based on the S.W.O.T analysis (T21 S.W.O.T. Analysis) and the
Analysis (Activity 14). The challenges of the city are discussed and mapped on a single map, while identifying areas of opportunity for
future development and urban regeneration.
Once the constraints, suitability, and challenges/opportunity maps are completed, it is important to validate the results with the
advisory and the steering committee. A validation meeting can be organised to discuss and review specific aspects of the maps.
Finally, all the Block D Analysis and Diagnosis components and results are integrated into a Diagnostic or City Profile report.
2-6 Weeks
Socio-spatial inclusion

55. 55
- City context reports of the Global Future Cities Programme
- City Profiles of the Future Saudi Cities Programme
- Amman Spatial Profile (Jordan)
- Irbid Spatial Profile (Jordan)
- Douala Spatial Profile (Cameroon)
- Damietta Spatial Profile (Egypt)
- Plan Maestro del Puente Nichupté (pg. 55)
- Plan Maestro del Parque de la Equidad (pg. 48)
- San Nicolas City Vision 2040
- Ciudad Juarez City Vision
References
Suitability Map, Bissau 2030 - Sustainable Development Plan, UN-Habitat
For more information access: Our CIty Plans, Planning Experience, Bissau 2030 Sustainable Development Plan
PHASE 1: ASSESSMENT BLOCK D: ANALYSIS AND DIAGNOSTIC

56. PLAN

57. PLAN
BLOCK E. STRATEGIC DEVELOPMENT AND SPATIAL PLAN
BLOCK F. LAND MANAGEMENT PLAN
BLOCK G. NEIGHBOURHOOD PLAN
Where do we want to go?
Where do we want to go?
The objective of the second phase is to develop a common vision, a set
of strategies and strategic projects that provide spatial and technical
support to the future planning of the city. During the Plan phase, the
technical team sets the objectives of the urban planning process and
defines which plans should be developed, according to the priorities
and the capacities of the local government. This phase includes three
levels of spatial plans: the strategic development and spatial plan, the
land management plan, and the neighbourhood plan. The plans are the
result of multiple consultations between the technical team, the local
government, the key stakeholders and the community. They address
the challenges identified during the analysis and diagnostic Block and
provide solutions at different levels of detail.
02

58. E

59. The Strategic and Spatial Development Plan is core to any planning process and aims to define a shared
vision of the city for a specific time-frame, based on the challenges and opportunities identified and the
guiding document’s objective, and determine strategic projects to bring the vision to reality. This Block follows
a participatory process involving key stakeholders such as government, experts, and civil society, to identify
the main issues, to define a vision, to develop the goals necessary to achieve that vision, and the monitoring
framework to evaluate the process. The vision and goals are supported by a list of target indicators related
to the global, national, and local agreements on sustainable and resilient urban development.
This Block also proposes a spatialized development structure and strategies to identify the future structure
of the city, based on the city boundary, connectivity scheme, and the poles of attraction, and considering
transformation and consolidation areas.
20.
Urban Development
Structure
23.
Strategic and Catalytic
Projects Workshop
21.
Development Zones
24.
Environmental and
Social Impact Strategy
for the City Plan
22.
Formulation of
Strategies and
Initiatives
25.
Presentation and
Validation of results
(Strategic Development
and Spatial Plan)
1 tool
2 tools
1 tool
5 tools
1 tool
2 tools
2 weeks
2 weeks
2 weeks
2 weeks
2 weeks
1 day
17.
Scenario Building
3 tools
3-4 weeks
18.
Strategic Visioning
Workshop
Participation
2-5 days 1 tool
2-4 days
19.
Spatialisation of the
Strategic Vision
Strategic Development
Plan
2 tools
Participation
participationParticipation
E
BLOCK
Participation
Socio-spatial inclusion Socio-spatial inclusion Socio-spatial inclusion
Socio-spatial inclusion
Climate action

60. 60
Visualise and project how the situation of the municipality
may change in the future under certain scenarios.
- Definition of the baseline, optimal and strategic scenarios. - Projection of variables describing the city according to the identified scenarios, including population, urban expansion, equipment and required public space.
Urban Expansion Projections Scenario Building Narratives Facilities and Public Space Projections
Scenario Building
This activity contains qualitative and quantitative tools that allow the description and calculation of future scenario (that might include desirable and undesirable situations) analyse their impacts on the territory and thus clarify and anticipate possible futures. Scenarios should be defined on the basis of a time horizon. They can also be calculated on the basis of short-, medium- and long-term projections.
Scenarios can include the baseline or "as usual", the optimal and the strategic. The first assumes that existing trajectories will not
change in the future and conditions will be extrapolated from what is currently and has been happening in the past. It is important that
this scenario is considered because it allows to visualise and identify what would happen if no action is taken in the urban development
of the city, map any undesirable conditions, and to plan to avoid them. The optimal scenario is the one where all strategic variables
are considered to reach the best possible status, but which will not necessarily be feasible or achievable. The strategic scenario is
the desirable scenario and considers what is realistic under current conditions. This scenario should be aligned with the vision and
objectives that will be set out in the next activity.
To build the scenarios, some assumptions need to be first established, defining what are the minimum conditions needed for each "as
usual", optimal and strategic scenario to develop. To do this, review the narratives of each of the scenarios developed previously (T25
Scenario Building Narratives). Then, there needs to be a selection of variables that will be studied under each scenario. These can
vary and depend on the scope of the planning process but need to be linked to sustainable development, such as population growth,
urban expansion projections, requirements for public space and urban services, etc. After the variables are selected, they need to be
calculated for each of the scenarios.
To calculate population growth and urban footprint, the team can use T19 Urban Expansion Projection. This uses population census
data to first estimate projections in a defined timeframe. Then, the required urban land area to fit that population growth is calculated,
according to different density scenarios that correspond to the scale and current development of the city. Density averages by type of
single-family or multi-family housing should be considered, as well as ensuring that the growth rate of the urban footprint (area that
the city expands) is aligned to the projected population growth.
Additionally, the T43 Facilities and Public Space Projections can be used to estimate the deficit and current coverage of each type of
facility (healthcare, education, commercial, sports, cultural, etc.), as well as to determine the number of units of each type needed to
cover, as the case may be, the current unmet demand and the future demand based on projections. The analysis should be carried out
with special attention to the demand for facilities according to the scale of the city and its population. The tool also allows to calculate
and compare the necessary public space surface and the current and future coverage, according to national ratios and international
recommendations. It is important to clarify that this calculation is done on an aggregated basis for the whole city, and it is necessary to
analyse the distribution of existing and future public facilities and spaces. In order to do so, the scenario building can be complemented
with spatial analysis to evaluate which areas of the city lack accesibility to these facilities, defining buffers that correspond to walking
distances (e.g. accesibility in 5, 10, 15 minutes), according to the scale of the city and the capacity of facilities. These analysis could be
3-4 Weeks
Participation
Objective Results
Tools
Description
T19
T22
T43
17
ACTIVITY

61. 61
taken from Block D Analysis and Diagnosis.
Finally, it is recommended to estimate the provision of public services such as water demand, electricity consumption, sanitation
services, solid waste management, road network infrastructure, etc. in order to know the demand for each type of service, and to
establish a basis for the strategies to propose the amount of primary infrastructure or public investments required.
- Vision, Scenario Building and Action Plan Report Al Hashmi Al Janoubi Neighbourhood - Vision, Scenario Building and Action Plan Report Al Afrah Neighbourhood - Vision, Scenario Building, and Action Plan for the city of New Damietta - Scenario projections for Master Plan Puente Nichupté, Cancun - Mexico (pg. 287) - Tecnical note on estimates of infrastructure investment needs
References
Define the timeframe for the scenarios. Identify the assumptions for each of the scnearios: baseline / "as usual", optimistic, strategic. This can be done reviewing the different narratives and then identify key assumptions (T25 Scenario Building Narratives). Define the variables that need to be considered and calculated for each of the scenarios. Calculate the population and urban expansion projections (T19 Urban Expansion Projections). Calculate the rest of the variables, including the requirement for urban facilities and public spaces (T43 Facilities and Public Space Projections) as well as accesibility and provision of public services.1.
2.
3.
4.
5.
Steps
PHASE 2: PLAN BLOCK E: STRATEGIC DEVELOPMENT AND SPARIAL PLAN
Participatory workshop in Las Lajas, Argentina, UN-Habitat

62. 62
62
Define a shared vision, supported by goals, to guide the
Strategic Development Plan and the overall planning
process. - Definition of the vision and goals of the Strategic Development Plan (the Strategic component of the Plan).
Workshop Checklist Strategic Visioning Workshop Guide
Strategic Visioning
Workshop
The Strategic Visioning Workshop aims to collaboratively identify the long-term intentions of the city (for the next 15 years or the agreed
timeframe of the plan) and set the basis of the strategic development plan. The strategic development plan localises the Sustainable
Development Goals and the New Urban Agenda at the city level and aligns the global agenda with the national, regional and local
planning framework. The vision acts as a trigger and guides the plan ambitions, creating opportunities and deconstructing challenges
into goals and targets.
“A strategic vision shapes a preferred future for the city. Many of the issues affecting cities partially stem from the lack of comprehensive
strategic planning before making spatial decisions. Spatial planning is enriched if it is linked with a vision for the future that is holistic
and is legitimised if this vision is collectively held. A successful vision has a spatial dimension that reflects a city’s unique cultural and
physical traits; it provides direction for the activities of all stakeholders, encourages them to work cohesively and ensures everyone is
working towards the same goal.” - United Nations Human Settlements Programme (UN-Habitat) (2014) Urban Planning for City Leaders.
2nd Edition, Nairobi, Kenya.
The visioning workshop starts with an introduction on the international and national urban planning frameworks, to align the city's
planning intentions with the national and global agenda. Present the reference documents and the main observations gathered in the
T3 Matrix of References
Secondly, the facilitators brief the participants about the outputs of Block D Analysis and Diagnostic, including the data collection and
analysis, T21 S.W.O.T. Analysis, and T16 Participatory Incremental Mapping. Have printed versions of these materials for consultation
during the activity. Participants are divided into smaller groups, according to the Sustainable Urban Development 5/6Ps (People/
Planet/ Partnerships/ Prosperity/ Peace/ Planning), in which they brainstorm key concepts for each of the vision components: image,
purpose, mission, and values. Then they combine all ideas to formulate a sentence (the vision) that describes and represents their
future city.
Example: “By 2030, Bissau will be a socially inclusive city with a sustainable urban development which is compact and resilient to
climate change, functioning as a catalyst for the country’s economic development.”
Thirdly, participants identify the goals and targets to achieve the vision. While the goals are the main topics of the Strategic Development
Plan, the targets are specific objectives of the plan. The goals and the targets should make linkages with the local, regional, national
and international agenda, such as the Sustainable Development Goals (SDGs), the Paris Agreement and the New Urban Agenda.
Technical team, advisory committee, steering committee, and further key stakeholders.
2-5 Days
Participation
Objective Results
Tools
Description
T7
T24
18
ACTIVITY
Target Stakeholders

63. 63
Prepare any required material for the session (T7 Workshop Checklist).
Present the international and national urban planning frameworks previously gathered in T3 Matrix of References.
Divide participants into smaller groups to brainstorm the main vision components: image, purpose, mission and values (T24
Strategic Visioning Workshop Guide).
Formulate the vision collaboratively and then vote on the best version.
Define the goals and targets aligned to the vision.
Close the session presenting the final results.
If possible, include another participatory moment to invite other stakeholders, including the general public to vote and provide
their input.
The technical team consolidates the work and shares it publicly1.
2.
3.
4.
5.
6.
7.
8.
Steps
- San Nicolas de los Garza Vision for 2030
- Bissau 2030 Sustainable Development Plan City Prosperity Initiative
- Sustainable Development Goals Acceleration Toolkit
- Regional Spatial Planning Strategy for Darfur: Peace Building, Recovery and Development of Darfur, the Urban Factor
- Flagship Programme SDG Cities
References
Agenda:
An agenda of the workshop should be presented by the team leader and made available for all participants to understand the development of the session. The time, length of each exercise and content adjustable to the cultural context and the availability of the participants.
08.00 Registration and breakfast
08.30 Opening by the Mayor or the project manager followed by a presentation of each participant
09.00 Plenary Session : Presentation of the international and national urban planning framework (key takeaways from the
Matrix of References), outputs of previous planning activities
11:30 Coffee break
12:00 Discussion group: Formulation of the vision
13:30 Lunch break
14:30 Discussion group: Definition of the goals and targets
16:00 Presentation of the final results of the session
17:00 Closing remarks
PHASE 2: PLAN BLOCK E: STRATEGIC DEVELOPMENT AND SPATIAL PLAN

64. 64
Spatialise the strategic vision by identifying concrete
proposals that can be implemented in the territory to
contribute to the fulfilment of the vision. - Maps of Strategic Development and Spatial Plan and spatialised goals of the vision
Spatialisation of the
Strategic Vision
2-4 Days
Participation
Objective Results
The Spatialisation of the Strategic Vision is the first attempt to propose spatial actions in specific areas of the city. The spatialisation is
approached by identifying interventions and actions for each of the goals defined in the Strategic Vision, integrating different aspects
and strategies identified in the territory in previous activities.
This activity is elaborated collaboratively between different stakeholders, led and coordinated by the technical team. The description
of each goal guides the discussion of how the different components of the natural and built environment should look like in the next
15 years and how the community and the social relations will be impacted by the proposed interventions. Elements such as the
natural areas, the public space network, the housing opportunities, the economic level, the public transport systems, the institutional
capacity for urban management, etc. are aspects to cover. This activity should also be supported by statistical projections, including
demographic and climate projections, economic vision and feasible financial resources, and/or a hypothetical timeline of events that
would lead to the fulfilment of each goal. This activity will consolidate the strategic component of the Plan.
Description
Review all the information, data, and outputs from previous activities (Specially Strategic Visioning Workshop (Activity 18),
including Block D Analysis and Diagnosis.
Divide participants into smaller groups, each one focusing on one of the goals established in the Strategic Vision (T27 Spatialisation of the Strategic Vision Workshop). Discuss and brainstorm a list of actions and projects for each goal. Spatialise and map all the proposed interventions in the territory. Review the results and consolidate the final maps per each goal. 1.
2.
3.
4.
5.
Steps
Spatialisation of the Strategic Vision Workshop
Tools
T27
19
ACTIVITY

65. PHASE 2: PLAN BLOCK E: STRATEGIC DEVELOPMENT AND SPATIAL PLAN
Bubaque, Guinea Bissau, UN-Habitat

66. 66
Consolidate the new urban development structure of the
city, by defining the urban perimeter and identifying the
areas of transformation,consolidation and conservation. - A map of the new development structure of the city, including the urban area, rural area, urban expansion and the new urban perimeter. - A map of the areas of transformation, consolidation and conservation.
Sustainable Development Structure Guide
Urban Development
Structure
2 Weeks
Socio-spatial inclusion
Objective Results
Tools
The urban development structure identifies the key features of the Strategic and Spatial Development Plan. This first consists in
identifying the urban and rural area, the area for urban expansion, and the urban perimeter. Second, based on the defined structure,
transformation, consolidation and conservation areas are identified, which define the how the city areas should change in order to
guide the future development of the city.
The technical team should start reviewing the outputs from previous activities.The current structure of the city was developed in Field
Research (Activity 13) with the T16 Participatory Incremental Mapping tool and the Analysis (Activity 14) and concludes in the
Diagnosis (Activity 16). This includes the areas where the urban area of the city has consolidated and/or expanded, the connectivity
scheme, the main nodes and landmarks, etc. This information plus the results regarding the challenges, urban expansion projections
and city vision should be the base for the formulation of the urban development structure for the future city.
The first step is to define the new urban perimeter. The urban management boundary — also called urban edge, urban perimeter
or planning boundary — sets the limits for the future growth of the city to guarantee sustainable development. The boundary is a
regulatory tool that legally establishes the planning limits, controls urban sprawl, and classifies the land into three types: urban area,
urban expansion, and rural area. The names and categories of the areas can vary according to the local planning and regulatory
framework or context.
The new urban perimeter and urban expansion area should consider the urban expansion projections (T19 Urban Expansion
Projections) and propose an adequate density for the local context and an adequate proportion of public land (30-45%). The urban
perimeter is defined considering existing natural or artificial elements, such as topographic elements, major infrastructures, natural
landscape, etc. to ensure its legibility and clarity.
Once the new urban perimeter is established, the second step is to define strategic areas of the city (T28 Urban Development Structure
Guide):
- Consolidation: in areas where the infrastructure capacity and the land occupation are balanced and/or there are no predictable or
justifiable major changes in the current urban fabric and urban form. Some sectors from the consolidation areas have the potential
to be densified.
- Transformation: in areas where there is a mismatch between the infrastructure capacity and land occupation and/or where
substantial changes in the current urban fabric and urban form are predicted. These can be both in urban areas or in expansion areas.
- Conservation: in areas with cultural or environmental value that nees to be protected from interventions and urban sprawl.
This activity is carried out by the technical team but can also be developed as a workshop in collaboration with the advisory committee.
Otherwise, the results must be revised and validated by them.
Description
T28
20
ACTIVITY

67. 67
Review the structure of the city developed during the T16 Participatory Incremental Mapping tool and the key findings from
Diagnosis (Activity 16).
Review the population growth rate, the urban expansion projections, and the trends of growth defined during the analysis (T19
Urban Expansion Projections).
Draw the new urban perimeter and classify the land into urban area, urban expansion or rural area, or other categories relevant
for the city and context (T28 Urban Development Structure Guide).
Review the Vision and its spatialisation (Activity 17 and Activity 19).
Define the areas of transformation, consolidation and conservation.
Consolidate a map that integrate the new sustainable development structure of the city and the strategic areas. This can also
be presented in two different maps. The strategic areas will serve as part of the strategic spatial and/or land management plan.
Validate the results with the advisory and steering committee.1.
2.
3.
4.
5.
6.
7.
Steps
- Planned City Extensions: Analysis of Historical Examples
- Urban Planning for City Leaders
References
68 DEVELOPMENT STRATEGIES BELMOPAN URBAN DEVELOPMENT
“Belmopan’s vision for future development is
based upon a desire to become a “greener” and
more walkable city. This vision will rely on more
mixed-use development and accommodating
a diverse and changing population through
different affordable housing options, economic
opportunities and social services.”
Fig.84. Municipal Development Plan
BLUE-GREEN NETWORK
KEY
MIXED-USE NETWORK EXISTING STREET NETWORK
PROPOSED STREET NETWORK
RESIDENTIAL HIGHER DENSITY
RESIDENTIAL LOWER DENSITY
INDUSTRIAL
EDUCATIONAL-INSTITUTIONAL
MUNICIPAL BOUNDARY
E 1:15000
0 500 1000 1500 m
Fig.85. by UN-HABITAT and Belmopan City Council
N
INTEGRATED MASTER PLAN
68 DEVELOPMENT STRATEGIES BELMOPAN URBAN DEVELOPMENT
“Belmopan’s vision for future development is
based upon a desire to become a “greener” and
more walkable city. This vision will rely on more
mixed-use development and accommodating
a diverse and changing population through
different affordable housing options, economic
opportunities and social services.”
Fig.84. Municipal Development Plan
BLUE-GREEN NETWORK
KEY
MIXED-USE NETWORK EXISTING STREET NETWORK
PROPOSED STREET NETWORK
RESIDENTIAL HIGHER DENSITY
RESIDENTIAL LOWER DENSITY
INDUSTRIAL
EDUCATIONAL-INSTITUTIONAL
MUNICIPAL BOUNDARY
E 1:15000
0 500 1000 1500 m
Fig.85. by UN-HABITAT and Belmopan City Council
N
INTEGRATED MASTER PLAN
PHASE 2: PLAN BLOCK E: STRATEGIC DEVELOPMENT AND SPATIAL PLAN
Belmopan Urban Development Plan, Belmopan, Belize, UN-Habitat For more information access: Our City Plans, Planning Expereince, Belmopan Urban Development Plan

68. 68
Identify development zones according to the vocational
function of diverse sectors of the city.
Spatial Strategies Guide
Development Zones
Objective Results
Tools
Building on the urban development structure, this activity focuses as a first step on identifying key development zones for the city. This a first approach to a land-use proposal but starts by mapping what is the vocational function of each larger sector of the city. Development zones can also be called functional zones, and the categorization will depend on the context of the city. These can include: (1) Economic-productive zone, (2) Urban / social zone, (3) Cultural zone, (4) Environmental zone.
The zones should be distributed within the territory considering the existing assets and dynamics of the city, as well as potentialities
that will guide future sustainable development. Some key questions might include: Are there new areas for residential and mixed-uses?
Any new potential economic and commercial centers? Any areas for green and blue infrastructure recreational use? Any areas that
need consolidation as riral and productive zones? The identification of zones should take into account the areas for transformation,
consolidation and conservation, which define the how the territory should be reshaped or developed. On top of those, the development
zones indicate the what type of use should be assigned.
As a second step, strategic densities should be determined for the different sectors of the city (high, medium, low, according to the
local context). UN-Habitat promotes an average of 15,000 inhab/km2 / 150 p/ha for sustainable urbanisation and a compact city. The
definition of high, medium and low-density changes drastically depending on the context. While too low densities do not promote
sustainable urbanisation, too high densities disrupt the existing urban landscape and bring a critical demand for infrastructure and
basic services.
The technical team assigns different density levels to sub-zones or neighbourhoods of the city, according to the population growth
scenarios, the cultural context, the trends and vulnerability to climate change, the availability of land, the specific nature of the land,
the land market value, and the technical capacities and requirements. Particularly, density distributions follow the urban structure
of the city, the hierarchy of roads and the main urban form. The promotion of Transit-Oriented Development (TOD) in the strategic
development plan is crucial to ensure a strategic and effective use of resources and valuable land.
This activity is carried out by the technical team but can also be developed as a workshop in collaboration with the advisory committee.
Otherwise, the results must be revised and validated by them.
Description
T29
21
ACTIVITY
2 Weeks
Socio-spatial inclusion
- A map of te development/functional zones. - Definition of strategic densities for different sectors of the city.
Review the structure of the city and the strategic areas identified in the previous activity. Identify the vocational function of different sectors of the city according to the current and potential uses and dynamics to define the development/functional zones. Conduct a validation meeting with the advisory committee.1.
2.
3.
Steps

69. 69
PHASE 2: PLAN BLOCK E: STRATEGIC DEVELOPMENT AND SPATIAL PLAN
- Guidelines for Urban Planning in Myanmar
- Bubaque Basic Spatial Plan
- Bolama Basic Spatial Plan
References
Development Zones for Alumine 2035 Plan - Neuquen, Argentina, UN-Habitat

70. 70
Identify and propose a set of strategies and initiatives
oriented towards the fulfilment of the Strategic Development
Plan. - Strategies and initiatives aligned with the goals of the Strategic Vision.
Strategy Formulation Guide
Formulation of Strategies
and Initiatives
Objective Results
Tools
Based on the goals defined in the vision, the urban development strategy and the definition of development zones, more concrete
strategies are proposed, as well as specific initiatives to achieve them. This activity is based on and builds on the inputs obtained
previously, including the participatory inputs received during previous activities and workshops, such as proposed ideas and actions in
relation to the future city vision, goals, strategies and initiatives to achieve them.
The established vision goals and its spatialization can be reviewed and adjusted according to the results of the other activities, aligning
them to relevant themes of the diagnosis or to complementary and existing plans (for example, the national country vision and regional
plan). Then, strategies are established for each of the goals. Strategies are statements that are part of a roadmap that will contribute
to achieve the defined goals. These provide more details on how to develop each specific goal. The strategies must be comprehensive
and respond to the challenges and needs identified before, as well as be congruent with the municipality's capacity for action.
Next, each strategy should propose a series of initiatives (specific actions, projects, programs) that ground it in a more limited scope
and purpose, in an identified time bound. In Phase 3 Operationalisation, specific targets are defined to evaluate each initiative over
time, as part of the plan's evaluation and monitoring framework (Block J Monitoring and Evaluation).
The strategies and initiatives complements the framework of the vision and goals. More detail can be added within each initiative
according to the needs and capacities of the team. For example, for each initiative a series of further detailed actions could be added
to ground the initiative even more. Strategies and initiatives result from the participatory activities developed previously, as well as from
the technical input from the team based on the main findings from the analysis and diagnosis.
The framework of strategies and initiatives can also be represented in maps to identify and spatialise them more concretely.
Description
T42
22
ACTIVITY
Review the results and inputs gathered from the Strategic Visioning Workshop (Activity 18) and Spatialisation of the Strategic
Vision (Activity 19).
Review the final goals to be incorporated into the plan.
Review list of international and national urban planning frameworks (T3 Matrix of References in Legal Framework Review
(Activity 2)).
Develop strategies according to each goal or thematic area established. Strategies must be linked to the established goals and
to ongoing or planned projects and programmes at the country, regional or local scale (Use T42 Strategy Formulation Guide).
Propose initiatives to implement the strategies proposed. These may focus on certain sub-themes.
Consolidate the framework of strategies in a document.1.
2.
3.
4.
5.
6.
Steps
2 Weeks
Socio-spatial inclusion

71. 71
PHASE 2: PLAN BLOCK E: STRATEGIC DEVELOPMENT AND SPATIAL PLAN
- Ciudad Juarez City Vision
- Plan Maestro del Puente Nichupté (p. 325)
- Plan Maestro del Parque de la Equidad (p. 311)
References
Risk Response Options Resilience Initiatives for the City
Tools
H61
H62
20 21
EXECUTIVE REPORT | OBJECTIVE 1 CIUDAD JUAREZ 2040 VISION
Objective 1: Sustainable and resilient city
This objective addresses the environmental issues from an integrated approach that aims to articulate
the urban and rural spheres. The objective brings together actions focused on facilitating the sustainable
management of natural resources in the municipality in order to protect and optimise the ecosystem, reduce
risks related to climate change and consolidate the environmental resilience of Ciudad Juarez.
Themes Municipal Strategy Alignment SDG alignment
1.1.1
Strengthen municipal environmental agencies to promote
the creation, updating, monitoring and enforcement of
environmental strategies, standards, regulations, and laws.
Line of action
Dead-
line
Responsible
Actor
Medium Council Secretariat,
City Council of
Ciudad Juarez
Collaborating
Actors
Municipal
Government
1.1.2Consolidate tree planting and landscape architecture
development projects. Through a programme that
encourages the appropriate cultivation of endemic species
and promotes the development of municipal nurseries.
Short Directorate-
General for Public
Services
Municipal
Government,
Academy
Target 1.1: By 2040, Juarez will be environmentally sustainable
1.1.3Increase the number of air quality monitoring stations, mainly
PM 10 and PM 2.5 particles.
Medium Directorate of
Ecology
Municipal
Government, State
Government,
Federal Government
1.1.4Implement an adequate waste management programme
in the city, including domestic and industrial waste, including
recycling, tyre management and reuse of resources.
Short Directorate-
General for Public
Services
Municipal
Government,
Business Chambers
1.1.5Promote the use of sustainable energy generated in the
municipality for domestic, industrial, or public facilities.
Medium Resilience
Coordination
Municipal
Government,
Business Chambers
AXIS 3: Economics for Well-being
AXIS 4: Spatial and Urban Planning
Environment, climate change,
public space, storm drainage,
agricultural production.
Table 1. Description of Objective 1: Sustainable and resilient city.
Table 2. Target 1.1.
SDG Alignment:
Public space strategy Project portfolio
1.2.1Promote urban-rural integration in the municipality by
consolidating the integration of the Juarez Valley into the
urban dynamic, guaranteeing inter-municipal mobility,
consumption of local agricultural production and land use
planning.
Line of action
Collaborating
Actors
MediumDirectorate of Rural
Development,
Directorate
General for Urban
Development
Responsible
Actor
Municipal
Government
1.2.2Promote the creation, maintenance, and activation of a network of green corridors and green areas that integrate rain gardens, pocket parks, and public spaces that consider nature-based solutions (NBSs).
Short Directorate
General for Public
Services, Resilience
Coordination
Municipal
Government
Target 1.2: By 2040, strengthen the resilience of Ciudad Juarez through
the network of public spaces, integration with the environment and rural
areas.
1.2.3Develop and implement a strategy for the restoration of the
Sierra Juarez and the preservation of the flora and fauna
protection area of the Medanos de Samalayuca natural area.
Long SEMARNAT, CONANP,
Coordination of
Resilience
Municipal
Government,
Federal
Government
1.2.4Create a system of municipal parks where landscape development, maintenance of plant species, promotion of a culture of water conservation, installation and maintenance of sports equipment, and promotion of recreation and healthy coexistence are encouraged. The network will include Chamizal Park, Central Park and Borunda Park.
Medium Resilience
Coordination,
Directorate General
of Public Services
Municipal
Government, State
Government,
Federal
Government
1.2.5Develop a strategy for the recovery and rehabilitation of the municipal irrigation ditch system. To this end, priority will be given to the creation of green-blue corridors along the Acequia Madre, which will promote, on the one hand, environmental recovery and, on the other, access to quality public open spaces for the inhabitants of the municipality.
Long CONAGUA,
Directorate General
for Public Services
Municipal
Government,
Federal
Government
1.3.1Implement and maintain infrastructure for infiltration, collection, and reuse of rainwater through soakaways and, where feasible, treatment, storage, and reuse systems for vegetation.
Line of action
Responsible
Actor
MediumDirectorate-General
for Public Works
Collaborating
Actors
Municipal
Government, State
Government
Table 3. Target 1.2.
SDG Alignment:
SDG Alignment:Target 1.3: By 2040, Ciudad Juarez will have integrated water management.
Dead-
line
Dead-
line
Lines of action that are closely related to other products
20 21
EXECUTIVE REPORT | OBJECTIVE 1 CIUDAD JUAREZ 2040 VISION
Objective 1: Sustainable and resilient city
This objective addresses the environmental issues from an integrated approach that aims to articulate
the urban and rural spheres. The objective brings together actions focused on facilitating the sustainable
management of natural resources in the municipality in order to protect and optimise the ecosystem, reduce
risks related to climate change and consolidate the environmental resilience of Ciudad Juarez.
Themes Municipal Strategy Alignment SDG alignment
1.1.1
Strengthen municipal environmental agencies to promote
the creation, updating, monitoring and enforcement of
environmental strategies, standards, regulations, and laws.
Line of action
Dead-
line
Responsible
Actor
Medium Council Secretariat,
City Council of
Ciudad Juarez
Collaborating
Actors
Municipal
Government
1.1.2Consolidate tree planting and landscape architecture development projects. Through a programme that encourages the appropriate cultivation of endemic species and promotes the development of municipal nurseries.
Short Directorate-
General for Public
Services
Municipal
Government,
Academy
Target 1.1: By 2040, Juarez will be environmentally sustainable
1.1.3Increase the number of air quality monitoring stations, mainly PM 10 and PM 2.5 particles.
Medium Directorate of
Ecology
Municipal
Government, State
Government,
Federal Government
1.1.4Implement an adequate waste management programme in the city, including domestic and industrial waste, including recycling, tyre management and reuse of resources.
Short Directorate-
General for Public
Services
Municipal
Government,
Business Chambers
1.1.5Promote the use of sustainable energy generated in the municipality for domestic, industrial, or public facilities.
Medium Resilience
Coordination
Municipal
Government,
Business Chambers
AXIS 3: Economics for Well-being AXIS 4: Spatial and Urban Planning
Environment, climate change, public space, storm drainage, agricultural production.
Table 1. Description of Objective 1: Sustainable and resilient city.
Table 2. Target 1.1.
SDG Alignment:
Public space strategy Project portfolio
1.2.1Promote urban-rural integration in the municipality by
consolidating the integration of the Juarez Valley into the
urban dynamic, guaranteeing inter-municipal mobility,
consumption of local agricultural production and land use
planning.
Line of action
Collaborating
Actors
MediumDirectorate of Rural
Development,
Directorate
General for Urban
Development
Responsible
Actor
Municipal
Government
1.2.2Promote the creation, maintenance, and activation of a
network of green corridors and green areas that integrate
rain gardens, pocket parks, and public spaces that consider
nature-based solutions (NBSs).
Short Directorate
General for Public
Services, Resilience
Coordination
Municipal
Government
Target 1.2: By 2040, strengthen the resilience of Ciudad Juarez through
the network of public spaces, integration with the environment and rural
areas.
1.2.3Develop and implement a strategy for the restoration of the
Sierra Juarez and the preservation of the flora and fauna
protection area of the Medanos de Samalayuca natural area.
Long SEMARNAT, CONANP,
Coordination of
Resilience
Municipal
Government,
Federal
Government
1.2.4Create a system of municipal parks where landscape
development, maintenance of plant species, promotion of a
culture of water conservation, installation and maintenance
of sports equipment, and promotion of recreation and healthy
coexistence are encouraged. The network will include Chamizal
Park, Central Park and Borunda Park.
Medium Resilience
Coordination,
Directorate General
of Public Services
Municipal
Government, State
Government,
Federal
Government
1.2.5Develop a strategy for the recovery and rehabilitation of
the municipal irrigation ditch system. To this end, priority
will be given to the creation of green-blue corridors along
the Acequia Madre, which will promote, on the one hand,
environmental recovery and, on the other, access to quality
public open spaces for the inhabitants of the municipality.
Long CONAGUA,
Directorate General
for Public Services
Municipal
Government,
Federal
Government
1.3.1Implement and maintain infrastructure for infiltration,
collection, and reuse of rainwater through soakaways and,
where feasible, treatment, storage, and reuse systems for
vegetation.
Line of action
Responsible
Actor
MediumDirectorate-General
for Public Works
Collaborating
Actors
Municipal
Government, State
Government
Table 3. Target 1.2.
SDG Alignment:
SDG Alignment:Target 1.3: By 2040, Ciudad Juarez will have integrated water management.
Dead-
line
Dead-
line
Lines of action that are closely related to other products
Objective 1: Sustainable and resilinet city- Ciudad Jarez 2040 vision, Mexico, UN-Habitat
For more information access: Ciudad Juarez 2040 City Vision
Cities can focus on developing a strategy that defines specific initiatives for disaster risk reduction and climate resilience. These initiatives can integrate a goal and a number of well-defined actions to strengthen sectorial urban resilience.
The resilience strategy can be prepared starting from the identification of specific risk response options based on the results of the T20
Vulnerability Assessment previously prepared in the diagnostic activity. The tool T61 Risk Response Options can facilitate the process to dispose of a preliminary checklist of possible risk response options.
As a second step, using the tool T62 Resilience Initiatives for the City, the city's stakeholders can categorize the options into specific urban
sectors that need to be addressed with disaster risk reduction and climate change initiatives. This process allows to assess the level of
integration between disaster risk response and climate action elements within the urban planning framework, the overall institutional
arrangements, the cities’ financing system and the implementation of physical interventions. The evaluation of each sector in addition to
the risk response options will help to define the final actions to implement.
Additional resources:
- Municipal Climate Action Strategy for San Nicolas de los Garza
- Planning for Climate Change
- Climate Proofing Toolkit
- CityRAP Tool City Resilience Action Planning Tool
Climate Action

72. 72
Identify strategic projects that will allow the vision
and strategies to materialise the strategic and spatial
component of the Plan.
Workshop Checklist Strategic and Catalytic Projects Workshop
Strategic Projects Workshop
2 Weeks
Participation
Objective Results
Tools
The definition of strategic and catalytic projects within the Strategic and Spatial Development Plan makes direct linkages between the plan and its implementation. This is a participatory activity that can take place in a workshop, in which the technical team, the advisory committee, the steering committee, and other key stakeholders discuss together what are the strategic projects that align and fulfill the vision. This activity builds on the Formulation of Strategies and Initiatives (Activity 22) but goes into more detail by defining the most strategic projects.
First, the participants review and validate the strategy framework developed in the previous activity. Also, participants identify priority
areas among the development zones requiring urgent interventions. Strategic projects are relevant interventions and priority actions
needed to transform the city. The prioritisation of areas depends on the current trends of development, climate vulnerability and the
available infrastructure. For instance, an area well-connected with the city structure, close to public services, with high vulnerability to
floods and currently under pressure by informal development could be a priority area.
Afterwards, through brainstorming, discussion and mapping, a series of strategic projects that respond to the strategies raised and are
located in priority areas are defined. These must be concrete proposals and should solve and respond to more than one goal, i.e., their
benefits address various challenges and their implementation is capable of triggering different beneficial processes for the city. During
the workshop, projects can be prioritised to identify those that are most urgent.
Subsequently, the technical team systematises the information gathered to establish a list or bank of strategic projects, link them to
the objectives, prioritise them and identify potential allies. This list will then be prioritised in the strategic project portfolio in Phase 3
Operationalisation. The project list may consider other categories. An example might be catalytic projects, those that are smaller in
scale and can be implemented at lower cost and in a shorter time frame.
Finally, the Strategic and Spatial Development Plan document is consolidated, which integrates all the activities of this Block and their
results, including the vision and its spatialisation, and the complete framework of city’s vision, goals, strategies, lines of action, actions,
and list of strategic projects.
Description
T7
T32
23
ACTIVITY
Identify strategic projects that will allow the vision
and strategies to materialise the strategic and spatial
component of the Plan.
- List of strategic projects
- Final report of the Strategic and Spatial Development Plan

73. 73
PHASE 2: PLAN BLOCK E: STRATEGIC DEVELOPMENT AND SPATIAL PLAN
Participatory workshop in El Huecu, Argentina, UN-Habitat
Prepare any required material for the session (T7 Workshop Checklist and T32 Strategic Projects Workshop)
Review the results from previous activities such as the analysis and diagnosis, city's profile, the strategic vision and goals, the
spatialisation of the strategic vision, and the spatial framework.
Review the constraints, challenges and opportunities, and constraints map, the sustainable development structure and the
spatial strategies, and identify priority areas.
In groups, identify, brainstorm and discuss the strategic projects and priorities aligned to each of the plan's goals (T32 Strategic
Projects Workshop).
Map the specific locations where the projects should be implemented, based on the Spatialisation of the Strategic Vision
(Activity 19).
The technical team systematises the information and establishes the list of strategic projects, prioritising them according to the
participatory voting during the workshop, and their alignment to the goals, strategies and action lines.
Integrate a final report of the Strategic and Spatial Development Plan, including all the components of Block E Strategic
Development and Spatial Plan, share it with the advisory committee for validation and publish it as part of the communication
and participation strategy.1.
2.
3.
4.
5.
6.
7.
Steps
- SDG Project Assessment tool
- Project Portfolio Towards the Vision of San Nicolás de los Garza 2030, Mexico
References

74. 74
Develop a detailed action plan to monitor and manage the
possible environmental and social risks and impacts of the
plan.
Environmental and Social Screening Report Environmental and Social Development Impact Plan (DIP) Template Environmental and Social Scoping Report Template Environmental and Social Action Plan Template Environmental and Social Impact Assessment Template
Environmental and Social
Impact Strategy for the City
Objective Results
Tools
The environmental and social impact strategy arises from adapting UN-Habitat's Environmental and Social Safeguards System (ESSS),
which facilitates the identification, mitigation and monitoring of social and environmental risks and impacts that could be triggered
by the strategic development and spatial plans and strategic projects. It should be noted that, although countries may already have
processes in place for environmental and social impact assessment, it is advisable to use this activity as a complementary strategy to
this process in order to have as comprehensive an analysis of social and environmental risks and impacts as possible.
The environmental and social impact strategy of the project will be developed based on the information gathered from Block D
Analysis and Diagnosis and the activities. If the objective is to prepare a city level output (either plan or project), the outputs from
the Scenario Building (Activity 17), The Strategic Visioning Workshop (Activity 18) and the Spatialization of the Strategic Vision
(Activity 19) will have to be taken into account. If the objective is to prepare a neighbourhood plan or intervention the outputs from the
Neighbourhood Plan and Design (Activity 33) and Neighbourhood Projects and Interventions (Activity 34) will have to be taken into
account. Initially, the risk level of the plan or project should be identified through a T10 Environmental and Social Screening Report.
This will allow a timely and preliminary review of the characteristics of the project that may trigger environmental and social impacts
With the Screening report ir is possible to categorize the level of environmentan and social risk. Depending on the level of risk identified
and the type of project (urban plan or physical intervention), different reports and plans will have to be developed with a level of detail
that varies according to the level of risk.
For the development of plans with low risk and impact, a T11 Environmental and Social Development Impact Plan (DIP) - a simplified
plan to control risks and impacts - must be prepared; the preparation of the DIP requires a discussion and identification of the activities,
initiatives and actions that the strategic development plan proposes, and consists of two synoptic tables.
For plans with high level of socio-environmental risk and impacts, a T30 Environmental and Social Scoping Report (ESSR) as and a T31
Environmental and Social Action Plan (ESAP) must be completed. The goal of the ESSR is to prepare the team for the development
of the T31 Environmental and Social Action Plan (ESAP). For the ESAP, the team will determine detailed measures to avoid negative
impacts and a monitoring plan to control unexpected impacts. The ESAP consists of three main sections: the results of the ESSR, an
Environmental and Social Management Plan and the list of stakeholders to be involved.
For the planning of physical interventions through strategic projects, regardless of the level of risk, a ESSR should be prepared, and
subsequently, depending on the level of risk, a PAAS (for physical interventions with low socio-environmental risk) or an T66 Environmental
and Social Impact Assessment (ESIA) (for physical interventions with high socio-environmental risk) will be developed. The ESIA is the
most detailed document to be developed in the strategy and the one that requires more technical capacity for its development, as it
includes the baseline environmental and social studies to be executed, as well as the specific identification of impacts, their mitigation
and a monitoring plan. The ESIA can be completed with a participatory process for identifying socio-environmental risks.
Description
T10
T11
T30
T31
T66
24
ACTIVITY
2 Weeks
Climate action
Socio-spatial inclusion
- Environmental and Social Screening Report
- Environmental and Social Development Impact Plan (DIP)
- Environmental and Social Scoping Report (ESSR)
- Environmental and Social Action Plan (ESAP)
- Environmental and Social Impact Assessment (ESIA)

75. 75
PHASE 2: PLAN BLOCK E: STRATEGIC DEVELOPMENT AND SPATIAL PLAN
Example of an Environmental and Social Impact Strategy, UN-Habitat
Review the level of risk defined in the T10 Environmental and Social Screening Report for the Neighborhood plan and/or
neighborhood projects and interventions.
Identify whether an Impact Development Plan (DIP) - for plans with low socio-environmental risk - or an Environmental and
Social Scoping Report (ESRR) - for plans with high socio-environmental risk and any physical interventions - is required.
If only one DIP is required, complete Template T11 Environmental and Social Development Impact Plan (DIP) Template.
If a ESSR is required, complete T30 Environmental and Social Scoping Report Template (ESSR).
Identify whether an T31 Environmental and Social Action Plan Template (ESAP) or an T66 Environmental and Social Impact
Assessment Template (ESIA) is required.
Share the finalized results with the sector of the municipality responsible for the city plan for review and approval. 1.
2.
3.
4.
5.
6.
Steps
- UH-Habitat Environmental and Social Safeguard System (ESSS) 3.1
References

76. 76
Present and validate the Strategic and Spatial Development
Plan to the entire community, inviting the public to provide
feedback.
Participation Plan Guide Citizen Engagement Guide
Presentation and validation
of results (Strategic
Development Plan)
I Day
Participation
Objective Results
Tools
The content of the Strategic Development Plan lays the foundation for what is to be done. The process of validating it can be an
opportunity to align the different expectations that stakeholders have of their city for the coming years and to give the opportunity
to different actors to see how they can contribute to the implementation of the Plan. With this in mind, it will be of great importance
to show the results of all the content that was elaborated in this block, it is also important to evidence those processes that were
participatory, but also to show that the process does include a participatory component. Socialisation, consultation and involvement
can be done at the same time, using the T41 Citizen Engagement Guide.

This is an example of how the presentation and validation of results can be structured using the guide:

A one-day activation (which can be replicated in different parts of the city) consisting of the pedestrianisation of a little-travelled road,
as a demonstration of the action to increase quality public space, together with an open-air exhibition showing the results of the plan.
In this same activation, a big "malón" can take place where people discuss with each other their opinions about this experience and
what is proposed in the exhibition. They are then invited to vote for those projects that they consider to be the most important and have
the greatest impact, as well as suggesting projects.
Regardless of whether it is in the team's plans to carry out only this plan or the other plans, it is important to document the activities and
the participation that took place. It is also important for the team to grow the database of those who want to be aware of the process.
Consideration: It may be the case in some cities where the law requires a process of validation and consultation with neighbours.
However, it is considered appropriate in those cities where it is not a requirement of the planning process, to make the effort to carry
out the three components of the guide (socialise, consult or validate).
Description
T13
T41
25
ACTIVITY
SOCIALIZE CONSULT INVOLVE
- Validation of the Strategic and Spatial Development Plan

77. 77
Determine the content that requires validation and that which will give context to what will be validated in this activity.
Using T41 Citizen Engagement Guide and the results of T13 Participation Plan Guide, determine the activities that are best
suited to the content to be presented.
Convene as outlined in the Communication Strategy (Activity 10) and the database collected from the Public Launch of the
Planning Process (Activity 11).
Carry out the activities set out in step 2.
Document the results of the activities in a report.
Remind participants of the following appointments and next steps.
If needed, share the team's contact information with new interested stakeholders.
Review the inputs from this activity and incorporate them into the Strategic Development Plan.1.
2.
3.
4.
5.
6.
7.
8.
Steps
PHASE 2: PLAN BLOCK E: STRATEGIC DEVELOPMENT AND SPATIAL PLAN
Presentation and validation of results - Bubaque, Guinea Bissau, UN-Habitat

78. F

79. The Land Management Plan guides the urban development of the city for the next 10 to 15 years. It is
a regulatory spatial document with legal value that translates the spatial strategies into a detailed
land use plan, and provides uses, developments and potential of land as well as restrictions and
responsibility tied to it. It should be developed in the most consultative and inclusive way and builds
on expert deliberations held through multi-stakeholder discussions. It provides the local government
a tool to dialogue with future investors and partners, to select and prioritise projects, and to guide
urban development towards the principles of Sustainable Urban Agenda.
This document requires high capacities in terms of time, budget, and expertise; therefore, it is not
mandatory for the implementation of strategic and catalytic projects in the city. However, it is highly
recommended for the development of a solid and comprehensive urban framework.
FLand Management Plan
29.
Sectoral Plan
30.
Presentation and
Validation of results
(Land Management
Plan)
2 tools
4-6 weeks 1 day
26.
Land Strategies
1 tool 2 tools
4-6 weeks
27.
Land Use Map and
Indicators 4-6 weeks
2 tools
4-6 weeks
28.
Urban Development
Directives
Participation
BLOCK
Socio-spatial inclusion
Socio-spatial inclusion

80. 80
Define strategies and initiatives to regulate the territory,
according to key territorial systems. Determine the urban
structure of the city, strategic areas of urbanisation, and
development/functional zones.
Land Strategies Guide
Land Strategies
Objective Results
Tools
The Land Management Block starts by identifying the territorial strategies and initiatives that should be undertaken in the city in order to plan for its sustainable development in the long term vision. This Block and Activity can be either developed building on the results on the previous Block E Strategic Development and Spatial Plan, or independently.
The first step is to define the territorial systems that apply to the city, aligned to thematic areas, such as green and blue infrastructure,
mobility, urban, and economic-productive (T63 Land Strategies Guide). Additional ones could include the Cultural system and/or the
Risk Reduction system. Then, for each of the systems a goal or set of goals is defined for the long-term city vision, according to the
challenges and opportunities of the city identified in in Block D Analysis and Diagnosis.
Once the goals are defined, main land strategies and territorial initiatives are identified for each of the systems, which instrumentalize
how to achieve each of the goals. Strategies are statements that break down the goals into clearer paths. Initiatives are specific
actions, projects, programs, normative instruments that detail how the strategies can be achieved. For example, the Urban System can
entail which areas need to be densified and consolidated and where new areas for urbanisation are needed and proposed, together
with the instruments and actions (initiatives) that will lead to those urban development strategies.
The Land Strategies framework includes the territorial systems with strategies and initiatives for each one, plus a consolidated map of
a spatialized land strategies that bring all of the territorial systems together. Additionally, the initiatives that correspond to key projects
are identified to later operationalise them in Phase 3 Operationalisation.
Once the land strategies and initiatives framework is established, the urban development structure and strategic areas are defined.
This could have been developed earlier in Block E Strategic Development and Spatial Plan, if the Strategic Development and Spatial
Plan was completed. However, if the city is only focusing on the Block F Land Management Plan, it is now moment to elaborate the
Urban Development Structure (Activity 20), which focuses on determining the urban perimeter and the urban, rural and expansion
areas, as well as the conservation, consolidation and transformation areas. This is followed by the definition of Development Zones
(Activity 21) according to the vocational function and the key strategic densities of each sector of the city. This information will be key
to define the land use map in the next activity.
This activity is carried out by the technical team based on the main findings from the analysis and diagnosis but should include
participatory moments and activities to complement and build this strategic framework, inviting the community/citizenship as well
as the steering and Strategies and initiatives result from the participatory activities developed previously, as well as the advisory and
steering committee.
Description
T63
26
ACTIVITY
4-6 Weeks
Socio-spatial inclusion
- Map of strategies and initiatives of each territorial system (e.g. green and blue infrastructure, mobility, urban, economic-productive). - Map of urban development structure and strategic areas. - Map of development zones.

81. 81
Review the results from Block D Analysis and Diagnosis.
Define the territorial systems that apply to the city, according to the key thematic areas identified in the diagnosis. (T63 Land
Strategies Guide).
For each of the systems, identify key goals, based on the challenges and opportunities the city phases.
Define the main territorial strategies for or each of the systems.
Propose initiatives to implement the strategies proposed. These may focus on certain sub-themes and can entail projects,
programs, instruments, etc.
Consolidate the framework of land strategies in a document.
(If Block E Strategic Development and Spatial Plan was not developed)
Review and carry out Urban Development Structure (Activity 20), following the instructions and tools included.
Review and carry out Development Zones (Activity 21), following the instructions and tools included.
Part 1:
1.
2.
3.
4.
5.
6.
Part 2:
1.
2.
Steps
- Urban planning, beautification and extension project of the city of Beaumont
- Urban planning, beautification and extension project of the city of Dame Marie
- Urban planning, beautification and extension project of the city of Jérémie
- Urban planning, beautification and extension project of the city of Les Cayes
- Urban development initiative (UrDI) for the Canaan area of Port-au-Prince
References
PHASE 2: PLAN BLOCK F: LAND MANAGEMENT PLAN
Planificando El Desarrollo de El Huecú
Sistemas territoriales Modelo Deseado
Sistema
Ambiental
Sistema
Urbano
Sistema de
Conectividad y Movilidad
Sistema
Económico Productivo
“En 2035, El Huecú será sostenible, productivo, inclusivo e intercultural,
fomenta valores como la solidaridad, el respeto, la tolerancia y el
compromiso, por medio de la participación ciudadana y el cuidado del
ambiente, la generación de oportunidades y la preservación de la cultura,
la identidad y los sabores locales”
Leyenda
Territorial system from El Huecú, Argentina, UN-Habitat

82. 82
Define land uses and its regulatory directives with specific
urban indicators.
Compatibility of Functions Guide Land Use Indicators
Land Use Map and Indicators
4-6 weeks
Objective Results
Tools
This activity aims to translate the identified land strategies into detailed directives, regulating the use of the land. Building on the results of the Developments Zones, a more detailed land use map is elaborated. Land use maps should promote flexibility and compatibility of functions, as well as an equal distribution of services. Providing smart mixed-use land management strategies, the plan should promote and guide the building of compact and inclusive cities, with a transit-oriented approach. Specifically, the compatibility of functions (T36 Compatibility of Functions Guide) should indicate forbidden, tolerated and conditional uses for each land use zone to ensure flexibility and the opportunity to introduce land capture mechanisms. The plan will then become a smart and effective tool to moderate the negotiations between the municipality and the future developers and ensure the achievement of sustainable and resilient urban development.
Additionally, each land use should have clear development indicators (e.g. floor area ratio (FAR), maximum height of the buildings,
setbacks, etc.). The plan should indicate a minimum and maximum density for each sub-zone (FARs), however, the built-up density will
depend on the developers and the mechanisms of density bonus, remaining consistent with the population projections and the urban
landscape. Particularly, developers could access development rights, increase the density or other incentives in exchange of revenue
for the city and/or the implementation of good urban practices established by the plan, such as including social housing, social mix,
mixed-use, active facade, physical permeability, renewable energy source, etc.
Description
T36
T37
27
ACTIVITY
Review the Land Strategies (Activity 26) and the definition of development zones.
Establish the categories for land use that will be used for the city and specific context. Review Legal Framework Review (Activity
2) to determine if there is a legal framework or policy that already defines them.
Identify sub-zones within the development zones and determine a land-use in alignment to the land strategies and initiatives,
the urban development structure and the development zones.
Define the following regulatory directives for each sub-zone:
a. Elaborate a compatibility of function guide T36 Compatibility of Functions Guide to detail land use indications, consistent
with the Development Zones (social, strategic, environmental, cultural).
b. Assign urban planning indicators such as ratio of private/public land, gross floor area index, green index, etc. (see smart
mixed-use land management guide). This will also depend on the local planning legal framework. (T37 Land Use Indicators)
Prepare a regulatory land-use map.
Compile all the regulatory directives and indicators into a comprehensive report linked with the land-use map.
Share the results with the Advisory Committee and review the plan based on the feedback.1.
2.
3.
4.
5.
6.
7.
Steps
- A land-use map determining the future land development
of the city.
- Regulatory directives and indicators applied to each land
use of the city.

83. 83
- Tenure responsive land use planning - A Guide for Country Level Implementation
- Planning Sustainable Cities UN-Habitat Practices and Perspectives
References
PHASE 2: PLAN BLOCK F: LAND MANAGEMENT PLAN
Land Use Map for Alumine 2035 Plan - Neuquen, Argentina, UN-Habitat

84. 84
Define urban development directives to guide urban
planning and design according to concrete objectives, in
specific areas of the cities.
Thematic Issues Checklist Urban Development Directives Guide
Urban Development
Directives
4-6 weeks
Objective Results
Tools
In addition to land use regulatory directives, particular standards can be developed for some areas where land use and/or the urban
profile are to be regulated, both quantitatively and qualitatively (T68 Urban Development Directives Guide). For example, guidelines
that discourage parking space or regulate its location; establish façade characteristics to encourage an active and porous first floor;
encourage the creation of public spaces on the first level or widening of sidewalks; encourage ecological criteria and sustainable
buildings, etc. Particular regulations and standards are an opportunity to offer real estate developers density bonuses in exchange for
the application of certain guidelines, or the capture of capital gains that allow the implementation of urban projects.
More detailed recommendations on specific themes, such as housing, green spaces, public space, mobility, basic services, risk
management, water management, climate resilience, security, etc., can also be integrated into the Land Management Plan. Use the
T26 Thematic Issues Checklist to ensure that all relevant themes are included within the Plan. These can also be detailed as Sectoral
Plan (Activity 29).
Finally, other areas of the city where a more specific plan is required can be defined. These may be called neighbourhood, partial or
local plans depending on the country and seek to provide more precision on urban planning and development in that area. This may
be due, for example, to the implementation of a strategic infrastructure project that will potentially change urban dynamics and need
to be regulated, or an area of informal settlements that requires a specific plan to improve current conditions, among others.
Once the Land Management Plan, which can include all or some of the following (according to the context): the urban development
structure, development zones, land use plan and indicators, and urban development directives, has been drafted, it should be
submitted to the Advisory Committee. Once expert opinions have been included, the Plan should begin the process of socialisation
and subsequent approval.
Description
T26
T68
28
ACTIVITY
Identify specific areas of the city that need urban development regulations or guidelines to promote specific characteristics or
objectives and/or sectorial recommendations related to mobility, social housing, environment, public facilities, basic services,
heritage, etc. (T68 Urban Development Directives Guide)
Elaborate additional cross-cutting recommendations, using T26 Thematic Issues Checklist, to address aspects such as social
inclusion, human rights, resilience, hazard risk and safety.
Prepare a regulatory land-use map.
Compile all the regulatory directives into a comprehensive report linked with the land-use map.
Share the results with the Advisory Committee and review the plan based on the feedback.1.

2.
3.
4.
5.
Steps
- Master Plan Puente Nichupté (p. 367)
References
- A report or guide on urban development directives for a
specific area of the city or cross-cutting sector (e.g. mobility,
basic services, etc.)

85. 85
Define specific sectoral plans that include an overarching
strategy and elaborated regulatory directives for thematics
that cross-cut different areas.
Sectoral Plan
Objective Results
The land management and control activities define the land-use and density of each zone and subzone of the plan, providing clear regulatory and binding directives. However, several aspects and challenges of a city are systemic and require an overarching strategy. Depending on the context and its complexity, several sectoral plans can be developed to address issues such as water bodies and drainage systems, biodiversity corridors and wetlands, disaster risk reduction, climate action, energy and information systems, mobility, heritage, housing, waste management, slum regeneration, network of public spaces, etc.
Urgent sectors might have been already identified during the analysis and diagnostic Block or in the Strategic Development Plan,
addressed with specific goals and targets. The development of sectoral plans might also improve the quality of the land-use
management, integrating specific recommendations or spatial indexes. It is recommended to develop the sectoral plans in parallel
with the land management plan to ensure coherence. Key experts and stakeholders should be involved during the elaboration of the
plans, to improve quality and implementation feasibility.
Description
29
ACTIVITY
Review previous activities and identify the key sectoral plans that should be developed. Engage with key experts and stakeholders who will advise in the development of the sectoral plans. Develop sectoral plans in parallel with the land management and control activities. Define regulatory directives and recommendations and integrate them into the final Land Management Plan.1.
2.
3.
4.
Steps
- A Practical Guide to Designing, Planning, and Executing Citywide Slum Upgrading Programmes
- Streets as tools for urban transformation in slums: a UN-HABITAT approach to citywide slum upgrading. Working paper. Nairobi,
UN-Habitat.
- Integrating health in urban and territorial planning: a sourcebook for urban leaders, health and planning professionals
- City-wide public space strategies: a compendium of inspiring practices
- Waste Wise Cities
- Planning for Climate Change: A strategic, values-based approach for urban planners
- Constructed Wetland Manual
References
- Sectoral plan maps and regulatory directives report.
4-6 Weeks
Socio-spatial inclusion
PHASE 2: PLAN BLOCK F: LAND MANAGEMENT PLAN

86. 86
SOCIALIZE CONSULT INVOLVE
Communicate the Land Management Plan to the entire
community, inviting the public to provide feedback.
Participation Plan Guide Citizen Engagement Guide
Presentation and
Validation of Results
(Land Management Plan)
1 day
Participation
Objective Results
Tools
The presentation and validation of the results of Block F Land management plan should follow the logic indicated in the T41 Citizen
Engagement Guide. This implies socialising and consulting the results, the process and the impact of the plan with those actors
who were part of the formulation process of this block, as well as those who are not yet familiar with the proposal and it is important
that they validate it. It should also be a moment to involve new stakeholder groups in the plan and to be able to count on them as
promoters of the project with other potential stakeholders.
The land management plan sets out concrete proposals in specific territories, as well as regulations and guidelines for the design
of these proposals, all in technical language. It is important that the team manages through different activities to convey the plan's
proposal in a friendly language so that it is clearly understood. This will likely mean that the process will require several iterations and
time.

The process must be open enough to receive feedback from the neighbours, as they are the ones who will be impacted by the
proposals and are the ones who live in these territories. This is a key moment to present the plan together with the promoters and
allies who have been part of the elaboration of the plan. The plan could also be made available on the internet for public consultation
for a period of time. To reach a wider audience and gather any additional input not captured during the presentation of results, this
online engagement should be promoted via different channels.
Consideration: It may be the case in some cities where the law requires a process of validation and consultation with neighbours.
However, it is considered appropriate in those cities where it is not a requirement of the planning process, to make the effort to carry
out the three components of the guide (socialise, consult or validate).
Description
T13
T41
30
ACTIVITY
- Validation of the Land Management Plan

87. 87
Determine the content that requires validation and that which will give context to what will be validated in this activity.
Using T41 Citizen Engagement Guide and the results of T13 Participation Plan Guide, determine the activities that are best
suited to the content to be presented.
Convene as outlined in the Communication Strategy (Activity 10) and the database collected from the Public Launch of the
Planning Process (Activity 11).
Carry out the activities set out in step 2.
Document the results of the activities in a report.
Remind participants of the following appointments and next steps.
If needed, share the team's contact information with new interested stakeholders.
Review the inputs from this activity e Public Hearing and incorporate them into the Land Management Plan1.
2.
3.
4.
5.
6.
7.
8.
Steps
PHASE 2: PLAN BLOCK F: LAND MANAGEMENT PLAN
Participatory workshop, Saudi Arabia, UN-Habitat

88. G

89. Neighbourhood plans are localised urban development plans prepared in alignment to the Strategic
Development and Spatial Plan. They focus on specific localities of an urban centre, and are used to
implement the city's strategic and catalytic projects and/or more detailed scale or partial plans. Specifically,
they focus on the development of extension, regeneration or densification interventions. The outputs of this
Block should be detailed and implementable plans with smart solutions that consider social, economic and
environmental impact in a neighbourhood or smaller scale area of the city. Some activities from Block E
Strategic Development and Spatial Plan can be replicated here at a neighbourhood scale.
G
BLOCK
Neighbourhood Plan
31.
Detailed Data
Gathering and Analysis
1 tool
2 weeks
32.
Neighbourhood
Planning Workshop
3 tools
1-2 days 2 weeks
1 tool
2 weeks
5 tools
2 weeks
2 tools
1 day
33.
Neighbourhood
Planning and Design
34.
Neighbourhood Projects
and Interventions
35.
Environmental and
Social Impact Strategy
for the Neighbourhood
Plan
36.
Presentation and
Validation of results
(Neighbourhood Plan)
Participation
Participation
Participation
Climate action
Socio-spatial inclusion
Climate action
Socio-spatial inclusion

90. 90
Gather additional data of the selected area or neighbourhood
and develop more detailed spatial analysis regarding the
main challenges and opportunities identified or linked to the
Spatial Strategic Plan.
Detailed Data Gathering and Analysis Checklist
Detailed Data Gathering and
Analysis
2 Weeks
Define the neighbourhood boundary for which the plan will be developed.
Conduct a stakeholder mapping exercise for the neighbourhood scale (T12 Stakeholders' Mapping) to identify key actors that need
to be involved in the neighbourhood planning process.
Set up the initial broad research framework including the topics of investigation.
Review the information and maps produced in the Analysis (Activity 14) and Diagnostic (Activity 16) at the city scale and
Define the content list of the analysis.
Collect data from municipal offices, academic institutes and/or open source websites. Desk Research (Activity 12) and Field
Research (Activity 13) and related tools (T14 Desk and Field Research - Maps and Data Checklist) can be adapted to the
neighbourhood scale .
Identify additional data needed and select the methods that will be used to conduct the field research (T38 Detailed Data Gathering
and Analysis Checklist).
Consolidate and digitalise all the data into a single GIS database.
Define the key analysis to conduct, considering the available information, the objective of the plan, and the main preliminarily
identified challenges.
Compile the analysis into a series of spatial maps and identify the prioritised issues that should be addressed in the Detailed Plan.1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Objective Results
Tools
Description
Steps
T38
31
ACTIVITY
In Block D Analysis and Diagnostic, data was gathered and analysed corresponding to the national, regional, metropolitan, and
city scale. In this activity, specific data is gathered of the selected area or neighbourhood through desk and field research, in order
to analyse and produce more detailed information needed for the neighbourhood plan. It has to be considered that neighbourhood
data may require more time to be obtained compared to national or regional data since it is common that specific information at a
local level has not been produced or properly recopilated (e.g climate and environmental data, economy and livelihoods or detailed
demographic data).
The first step before starting is defining the neighbourhood boundary and the poligon for which the plan will be developed. Then, a
stakeholder mapping exercise should be conducted to identify key stakeholders that need to be involved along the neighbourhood
planning process.
Additionally, qualitative and quantitative data is gathered regarding the natural environment, risk and vulnerabilities, demographic
and social aspects, accessibility and mobility, built environment, public space, services provision, economic activities, etc.
Some information might be available in the local municipality, or included in the maps developed for the Diagnostic (Activity 16). If not,
it should be collected through field research, carrying out reconnaissance surveys, mapping exercises, household surveys, interviews,
focus group discussions, etc. Additional qualitative data might include the local population perceptions and technical knowledge
about positive and negative issues in their neighbourhood, such as safety aspects (related to crime, mobility, environmental hazards
etc.), public space perceptions, local landmarks, etc.
The information is then digitised using Geographic Information System (GIS) software and consolidated. Then, a spatial analysis is
conducted following similar methods described in the Analysis (Activity 14) to produce a series of spatial base maps that describe
the current conditions of the neighbourhood.
- A set of detailed analytic maps of the specific
neighbourhood for which the plan will be developed.

91. 91
- Public Space Site-Specific Assessment Guidelines
- My Neighbourhood
References
It is possible to conduct a neighbourhood vulnerability mapping and assessment, following the same methodology as described in T20
Vulnerability Assessment. Additional data should be collected at neighbourhood scale, through household surveys or neighbourhood walks, using geotagging in order to identify local facilities.
T20 Vulnerability Assessment
- Climate Change Vulnerability and Risk
- Prepared Communities: Implementing the Urban Community Resilience Assessment in Vulnerable Neighbourhoods of Three Cities
- Municipal Climate Action Strategy for San Nicolás de los Garza
Disaster Risk Reduction and Climate Action
Tool
Additional resources:
PHASE 2: PLAN BLOCK G: NEIGHBOURHOOD PLAN
LISTE DES SERVICES DANS DE LA VILLE DE DAME MARIE
Listes des Instituts
École Nationale Jean Marie Vincent
École Petit Chapron Rouge
École Nationale des filles
Collège de Dame Marie
École Cœur de Neytou
Institut Saint-Louis
École Cœur immaculée de Marie
École Fondamentale appliquée
École Notre Dame de la Nativité
École Saint-George
École Évangélique
Listes des hôpitaux et cliniques
Dispensaire Notre-Dame de Lourdes
Hôpital de la communauté de Dame Marie
Clinique Cleane François
Fig.47: Contrôle de l’étalement urbain, Ville de Dame Marie
65
ANNEXES
CHAPITRE 1
Contexte du projet
CHAPITRE 2
Analyse et diagnostic
CHAPITRE 3
Projet d’aménagement,
d’embellissement et d’extension
CHAPITRE 4
Plan d’action
Densification, zones d’extension et équipements publics
Certaines zones de Dame-Marie déjà urbanisées et consolidées
se situent dans des zones à risque d’inondation. Leur densifica-
tion n’est donc pas recommandée, de ce fait, les nouvelles con-
structions ne devraient pas être autorisées. Les constructions
existantes devraient être adaptées pour faire face à ce risque.
Urban planning, beautification and extension project of the city of Dame Marie, Haiti, UN-Habitat

92. 92
92
Validate the neighbourhood analysis developed by the
technical team, and co-create a general design scheme for
the neighbourhood plan.
Workshop Checklist Stakeholders' Mapping Neighbourhood Planning Workshop Guid
Neighbourhood Planning
Workshop
The Neighbourhood Planning Workshop is a collaborative session to kickstart the development of the Neighbourhood Plan, inviting
key actors identified in the stakeholder mapping exercise in the previous activity. The workshop can take place in one or two days,
according to the time availability and the capacity of the technical team and participants.
In the first part of the workshop, participants discuss and validate the defined neighbourhood boundary, and the data gathering
and analysis performed in the Detailed Data Gathering and Analysis (Activity 31). Then, the vision, goals, and targets of the city are
presented. Participants discuss how they can be applied to the neighbourhood scale and select specific goals and targets that will be
included in the Neighbourhood Plan.
The second part of the workshop consists of reviewing the Strategic Development Plan and defining the land use to co-design a
conceptual scheme for the neighbourhood, including streets, Blocks, public spaces, infrastructure, etc. This exercise should consider the
five principles for sustainable neighbourhood planning: adequate space for streets and an efficient street network, high density, mixed
land-use, social mix, and limited land-use specialisation (more information can be found in Additional Resources.
1-2 Days
Participation
Objective Results
Tools
Description
T7
T12
T39
32
ACTIVITY
Target Stakeholder
Technical team, the community and relevant stakeholders regarding the selected neighbourhood.
92
Validate the neighbourhood boundary and conduct a stakeholder mapping exercise for the neighbourhood scale (T12
Stakeholders' Mapping).
Review and validate the data gathered and spatial analysis maps for the city scale (Block D Analysis and Diagnosis),
highlighting the challenges and opportunities.
Discuss the city's vision and select specific targets and goals that apply to the Neighbourhood Plan (Strategic Visioning
Workshop (Activity 18))
Review the results from Block E Strategic Development and Spatial Plan and/or Block F Land Management Plan, specifically
the components that apply to the neighbourhood area (e.g. urban development structure and strategic areas, development
zones, land strategies, land uses). Design a conceptual scheme for the neighbourhood. 1.

2.
3.
4.
Steps
- Selection of goals and targets (from the identified city's
goals and targets) that will be applied to the neighbourhood
plan.
- Conceptual design scheme for the neighbourhood
(including streets, Blocks, land use, etc.)

93. PHASE 2: PLAN BLOCK F: LAND MANAGEMENT PLAN 93
- SDG Project Assessment tool
- A New Strategy of Sustainable Neighbourhood Planning: Five Principles
- Using Minecraft for Youth Participation in Urban Design and Governance (Block by Block)
- Climate change vulnerability and risk: A guide for Community Assessments, Action Planning and Implementation
References
Suggested agenda of a 1-day workshop:
An agenda of the workshop should be presented by the team leader and made available for all participants to understand
the development of the session. The time, length of each exercise and content are adjustable to the cultural context and the
availability of the participants.
08.00 Registration and breakfast
08.30 Opening by the Mayor or the project manager followed by an introduction of each participant
09.00 Plenary session: Presentation of the outputs of previous planning activities
11:30 Coffee break
12.00 Discussion group: Selection of goals and targets
13.30 Lunch break
14.30 Discussion group: Neighbourhood Conceptual Design
16:00 Presentation of the final results of the session
17.00 Closing remarks
93
PHASE 2: PLAN BLOCK G: NEIGHBOURHOOD PLAN

94. 94
Develop an implementable urban design plan for the
neighbourhood based on the data gathering, analysis and
participatory activities.
Neighbourhood Plan and
Design
Objective Results
Description
33
ACTIVITY
In this activity, the technical team develops and consolidates the urban design plan for the neighbourhood, informed by the data
gathering and analysis, and incorporating the outputs from the Neighbourhood Planning Workshop (Activity 32) and additional
urban interventions. The plan is guided by the city's land use map and the established spatial strategy: extension, regeneration,
densification or conservation. Each one has specific focus and implications:
• Extension zones: considerable changes in land use, urban Blocks, form and function design, integration of infrastructure,
considerable density additions.
• Densification zones: almost no changes in land use, detailed density zoning and urban form and function.
• Regeneration zones: moderate changes in land use, integration and rehabilitation of infrastructure, slum upgrading,
regeneration of environmentally challenging areas, urban form and function design, moderate density additions.
• Conservation zones: no changes in land use, integration and rehabilitation of infrastructure, protection of environmental
assets, no changes in current density.
The Neighbourhood Plan considers three main components. The first is a detailed design for the public area and those aspects
regarding access to services, such as urban streets, public spaces, integrated infrastructure, utilities, etc. In those cases where it is
included in the land use, social housing typologies are also defined and designed.
The second is the review of the city's strategic catalytic projects located in the neighbourhood area, defined in Block E Strategic
Development Plan. Additionally to this, specific projects and interventions for the neighbourhood will be defined in the next activity.
The third component is the definition of the land and Blocks that are or will be privatised and developed. These areas are subdivided
into plots of sizes that consider the designated land use and the local urban structure and context. Finally, especially if the land
management plan was not completed, the Neighbourhood Plan includes design standards and regulatory directives that the new
private buildings will need to follow, such as setbacks, maximum height, floor area ratio (FAR), quality of public spaces, surface of urban
green spaces, facade control details, etc.
Review the data gathering and analysis and the outputs of the Neighbourhood Planning Workshop (Activity 32). Review the results from Block E Strategic Development and Spatial Plan and/or Block F Land Management Plan, specifically the
components that apply to the neighbourhood area (e.g. urban development structure and strategic areas, development zones, land strategies, land uses). Develop the design and guidelines for the Neighbourhood Plan. 1.
2.
3.
Steps
- Using Minecraft for Youth Participation in Urban Design and Governance (Block by Block)
- MY Neighbourhood
References
2 Weeks
Socio-spatial inclusion
Climate action
- Neighbourhood urban design plan (Neighbourhood Plan)

95. 95
San Nicolas de Los Garzas, Mexico, UN-Habitat
The planning and design process should also consider integrating options that allow the neighbourhood to adapt to climate hazards.
Below you find some examples of adaptation design options that can be implemented at neighbourhood scale:
• Design to manage high temperatures and drought: cool pavement materials, tree planting for shading and evapotranspiration,
orientation of buildings to reduce solar gain, rainwater harvesting, etc.
• Design to manage flood risk: use of permeable surface materials, green spaces and green roofs to reduce runoff, widening of
drains, etc.
• Design to manage erosion and landslide risk: surface erosion control structures, vegetation cover for soil retention, reinforcing
of slopes.
• Design considering the zoning and land use regulations to limit neighborhood development in high-risk areas and promote the
creation of safe zones for critical infrastructure and housing.
In order to identify adaptation options that can be implemented in your neighbourhood, a good option is to conduct a benchmark with
other neighbourhoods or cities that are facing similar climate challenges.
- A Practical Guide to Climate-resilient Buildings & Communities
- Build Green: Charter for Sustainable Building, Neighbourhood Design and Urban Mobility in Tropical Countries
- Energy and Resource Efficient Urban Neighbourhood Design Principles for Tropical Countries. Practitioner’s Guidebook
- Climate change adaptation by design
Climate Action
Additional resources:
PHASE 2: PLAN BLOCK G: NEIGHBOURHOOD PLAN

96. 96
Identify specific projects and interventions aligned to the
Neighbourhood Plan.
- Neighbourhood projects and interventions - Preliminary computation of costs and financial strategy
Preliminary Estimation of Costs Template
Objective Results
Tools
Neighbourhood Projects and
Interventions
34
Defining specific projects and interventions in the neighbourhood, aligned to the conceptual structure of the Neighbourhood Plan, allows
the plan to come to life. In this activity, the technical team consolidates the specific urban interventions and other strategic projects
at the neighbourhood scale, considering the the results from the Detailed Data Gathering and Analysis (Activity 31), the outputs
and discussion from the Neighbourhood Planning Workshop (Activity 32), and the Neighbourhood Plan and Design (Activity 33).
Additional workshops can be carried out with the community to design in more detail specific sites or streets within the neighbourhood,
using the Block by Block methodology (See Additional Resources for more information).
Projects and urban interventions can be classified and prioritised according to their scope, scale, impact, investment, urgency, time
period of implementation and other criteria. Short term and low investment actions can include tactical urbanism interventions that not
only improve the urban conditions with quick and low-cost improvement, but also allow for the process of design and construction to be
participatory. Larger scale and high-cost projects will possibly need other forms of funding and management in their implementation,
such as requiring funds and support from the municipality, state, or federal government, partnerships with the private sector, or grants.
The identified projects and activities should be in line with the planning legal framework requirements (Legal Framework Review
(Activity 2)). It is also important to verify their compatibility with the available resources (Financial Resources Review (Activity 3))
and elaborate a financial strategy. This activity provides a tool to support the estimated calculation of costs for the projects and
interventions (T40 Preliminary Estimation of Costs Template). Then, these can be operationalised in Phase 3 Operationalisation.
2 Weeks
ACTIVITY
T40
Review the Detailed Data Gathering and Analysis (Activity 31) results and the Neighbourhood Planning Workshop (Activity 32) outputs.
Consolidate a list of actions categorised into projects (larger scale, higher cost, more time to implement) and interventions (lower cost, scale, and faster to implement). Map the specific locations where the projects and interventions should be implemented. Verify the compatibility of the plan with the legal resources and local governance (Legal Resources Review (Activity 2)). Review the outputs of the Financial Resources Review (Activity 3). Elaborate a preliminary estimation of costs (T40 Preliminary Estimation of Costs Template). 1.
2.
3.
4.
5.
6.
- Tactical urbanism master plan for San Nicolás de los Garza, Mexico
- Tactical urbanism master plan for Ciudad Juarez
Description
References
Steps

97. PHASE 2: PLAN BLOCK G: NEIGHBOURHOOD PLAN
Ben Tre, Vietnam, UN-Habitat

98. 98
Develop a detailed action plan to monitor and manage the
potential environmental and social risks and impacts of the
strategic development plan. - Environmental and Social Screening Report for the neighbourhood planning process - Environmental and Social Development Impact Assessment (DIP) - Environmental and Social Scoping Report and Environmental and Social Action Plan for the neighbourhood planning process. - Environmental and Social Impact Assessment for the neighborhood project.
Environmental and Social Screening Report Template Environmental and Social Development Impact Assessment (DIP) Template Environmental and Social Scoping Report Teplate Environmental and Social Action Plan Template Environmental and Social Impact Assessment Template
Environmental and
social impact for the
Neighbourhood
Objective Results
Tools
Description
T10
T11
T30
T31
T66
35
ACTIVITY
The environmental and social impact strategy arises from adapting UN-Habitat's Environmental and Social Safeguards System (ESSS),
which facilitates the identification, mitigation and monitoring of social and environmental risks and impacts that could be triggered
by the strategic development and spatial plans and strategic projects. It should be noted that, although countries may already have
processes in place for environmental and social impact assessment, it is advisable to use this activity as a complementary strategy to
this process in order to have as comprehensive an analysis of social and environmental risks and impacts as possible.
The environmental and social impact strategy of the project will be developed based on the information gathered from Block D
Analysis and diagnosis and the activities. If the objective is to prepare a neighbourhood plan or intervention the outputs from the
Neighborhood Plan and Design (Activity 33) and Neighborhood Projects and Interventions (Activity 34) will have to be taken into
account. Initially, the risk level of the plan or project should be identified through a T10 Environmental and Social Screening Report
Template This will allow a timely and preliminary review of the characteristics of the project that may trigger environmental and social
impacts With the Screening report ir is possible to categorize the level of environmentan and social risk. Depending on the level of risk
identified and the type of project (urban plan or physical intervention), different reports and plans will have to be developed with a level
of detail that varies according to the level of risk.
For the development of plans with low risk and impact, a T11 Environmental and Social Development Impact Assessment (DIP)
Template - a simplified plan to control risks and impacts - must be prepared; the preparation of the DIP requires a discussion and
identification of the activities, initiatives and actions that the strategic development plan proposes, and consists of two synoptic tables.
For plans with high level of socio-environmental risk and impacts, a T30 Environmental and Social Scoping Report Template (ESSR)
as and a T31 Environmental and Social Action Plan Template (ESAP) must be completed. The goal of the ESSR is to prepare the team
for the development of theT31 Environmental and Social Action Plan (ESAP). For the ESAP, the team will determine detailed measures to
avoid negative impacts and a monitoring plan to control unexpected impacts. The ESAP consists of three main sections: the results of
the ESSR, an Environmental and Social Management Plan and the list of stakeholders to be involved.
2 Weeks
Climate action
Socio-spatial inclusion

99. 99
PHASE 2: PLAN BLOCK G: NEIGHBOURHOOD PLAN
Tam Key, Vietnam, UN-Habitat
Review the level of risk defined in the T10 Environmental and Social Screening Report Template for the Neighborhood plan and/or
neighborhood projects and interventions.
Identify whether it requires an Impact Development Plan (DIP) - for plans with low socio-environmental risk - or an Environmental and
Social Scoping Report (ESSR) - for plans with high socio-environmental risk and any physical interventions.
If only one DIP is required, complete Template T11 Environmental and Social Development Impact Assessment (DIP) Template.
If ESSS required, complete T30 Environmental and Social Scoping Report Template (ESSR).
Identify whether an T31 Environmental and Social Action Plan Template (ESAP) or an T66 Environmental and Social Impact
Assessment Template (ESIA) is required.
Share the finalized results with the sector of the municipality responsible for the neighborhood plan for review and approval. 1.

2.
3.
4.
5.
6.
UH-Habitat Environmental and Social Safeguard System (ESSS) 3.1
References
Steps
For the planning of physical interventions through strategic projects, regardless of the level of risk, a ESSR should be prepared,
and subsequently, depending on the level of risk, a PAAS (for physical interventions with low socio-environmental risk) or an T66
Environmental and Social Impact Assessment Template (ESIA) (for physical interventions with high socio-environmental risk) will be
developed. The ESIA is the most detailed document to be developed in the strategy and the one that requires more technical capacity
for its development, as it includes the baseline environmental and social studies to be executed, as well as the specific identification
of impacts, their mitigation and a monitoring plan. The ESIA can be completed with a participatory process for identifying socio-
environmental risks.

100. 100
SOCIALIZE CONSULT INVOLVE
Share, gather feedback, and validate the Neighbourhood
Plan with the neighbourhood community.
- Validation of the Neighbourhood Plan.
Participation Plan Guide Citizen Engagement Guide
Neighbourhood Public
Hearing
Determine the content that requires validation and that which will give context to what will be validated in this activity.
Using T41 Citizen Engagement Guide and the results of T13 Participation Plan Guide, determine the activities that are best suited to
the content to be presented.
Convene as outlined in the Communication Strategy (Activity 10) and the database collected from the Public Launch of the
Planning Process (Activity 11).
Carry out the activities set out in step 2.
Document the results of the activities in a report.
Remind participants of the following appointments and next steps.
If needed, share the team's contact information with new interested stakeholders.
Review the inputs from this activity and incorporate them into the Neighbourhood Plan.1.
2.
3.
4.
5.
6.
7.
8.
Objective Results
Tools
Description
Steps
T13
T41
36
ACTIVITY
The process of validation and presentation of the results of Block G Simplified Neighbourhood Plan is also an opportunity to celebrate
the process with neighbours and to recognise the community as key actors in the elaboration of the plan; where all proposals reflect
the interests of their neighbours. This is a moment to ensure that the expectations of the neighbours themselves are being met, as well
as an opportunity to convince those neighbours who are sceptical about what the plan proposes.

As a neighbourhood plan, it would be best if the presentation and validation process takes place in the neighbourhood itself. The team
and the neighbours can make a list of places (public or private) where this process can take place. Some places could be: parks,
squares, streets, public car parks, shopping malls, schools, community centres or at the project house.

The technical team will present and validate the process using the T41 Citizen Engagement Guide. Considering the scale of the plan, the
team can carry out a combination of the socialisation, consultation and engagement strategies. Socialisation and consultation can be
carried out in simultaneous moments, where the plan proposal, the material that will give context to the proposal and the other plans
that have been carried out in a participatory way both in their process and in their validation are presented.
Participatory budgeting or voting on the prioritisation of strategic projects are some genuine ways in which neighbours can be involved
in the plan process. The team should aim to grow its database of citizens engaged in the plan once this activity is completed, as well
as documenting the whole process of the activity itself.
Consideration: It may be the case in some cities where the law requires a process of validation and consultation with neighbours.
However, it is considered appropriate in those cities where it is not a requirement of the planning process, to make the effort to carry
out the three components of the guide (socialise, consult or validate).
1 Day
Participation

101. Melaka, Malaysia, UN-Habitat

102. 102
OPERATIO-
NALISATION

103. 103
OPERATIO-
NALISATION
BLOCK H. PROJECT PRIORITISATION
BLOCK I. INSTRUMENTS
BLOCK J. MONITORING AND EVALUATION
How do we transition from planning or action?
The objective of the third phase is to establish a series of actions and enable
mechanisms to facilitate the operationalisation of the plan, its projects and
strategies. The proposed projects are reviewed and more information is
consolidated in order to prioritise them from a participatory and technical
point of view, resulting in a portfolio of strategic projects. In addition, land
management, financial, institutional and regulatory aspects are reviewed
in order to define instruments and enable mechanisms that allow the
implementation of projects and initiatives. Finally, a monitoring and evaluation
framework is established through a set of targets and indicators, as well as a
strategy, which will allow the plan to be followed up.
03

104. H

105. The Project Programming Block aims to prepare the necessary technical information of the projects and
initiatives identified during Phase 2. This can apply to the projects identified for Block E Strategic Development
and Spatial Plan or those prioritised from the initiatives of the Land Strategies (Activity 26) framework. This
considers technical feasibility, participatory acceptance, objectives, benefits and costs, prioritisation and the
definition of the strategic project portfolio. Subsequently, the programming of the projects focuses on the
elaboration of the technical studies that will determine their viability. Finally, project documents and concept
notes are developed for the strategic projects that belong to the portfolio, which consolidates all their
information.
40.
Economic Impact
Analysis
41.
Development of
Strategic Project Sheets
42.
Presentation and
validation of Results
(Project Prioritisation)
37.
Project Preparation
2 weeks
1 tool
38.
Participatory
prioritisation workshop

2-5 days
1 tool
39.
Project Technical
Prioritisation
H
BLOCK
Project Prioritisation
1 week
1 tool
1 week 4 weeks 1 tool
Variable 2 tools
Participation Urban financeUrban finance
Urban finance Participation

106. 106
Carry out a preliminary technical and economic analysis of
the projects or initiatives in order to subsequently determine
their feasibility and define its priority, as well as to assess
whether they truly solve the challenges and problems
identified in the previous phases.
- Preliminary analysis and information gathering for each of the strategic projects list defined in Strategic Projects
Workshop (Activity 23), or of the initiatives identified in Land
Strategies (Activity 26) if Block E was not developed.
Pre-feasibility study template
Objective Results
Tools
Project Preparation
37
In order to prioritise and define the most strategic projects of the plan to include in a Project Portfolio, a preliminary analysis must be conducted on the list of projects defined in Phase 2. If Block E Strategic Development and Spatial Plan was developed, these resulted
from the Strategic Projects Workshop (Activity 23). If Block F Land Management Plan was developed instead, projects resulted from
Land Strategies (Activity 26). Project preliminary studies can be more or less comprehensive, according to the time and resources available. However, it is important to have a base line in terms of the technical, financial and management solutions and constraints, as well as clarity on the benefits that each of the projects from the established list provide.
This activity seeks to consolidate information relevant to each of the projects or initiatives defined in Phase 2: Plan to subsequently
prioritise them. The objective is to quickly obtain, with reliable but not detailed data, an approximation of the configuration of each
project in all its facets. This will allow the team to order the ideas necessary for the resolution of the problem and to select and prioritise
it among the available and possible alternatives in order to contemplate their applicability and possible outcome.
As a first step, the team should list the benefits that the project would be fulfilling according to different categories (e.g. protection of
natural areas, increase or improve public space, promote and diversify housing, contribute to social cohesion, etc.). These benefits
should be directly linked to the findings of the diagnosis and the results of the Formulation of Strategies and Initiatives (Activity 22) or
Land Strategies (Activity 26). The team should also list for each project, which objectives are being addressed. Projects subsequently
prioritised in the strategic project portfolio should ideally respond to more than one objective.
For the pre-feasibility study, the technical team shall prepare a sheet with the following components, as a minimum requirement:
1. Preliminary technical study; how is the project going to be implemented, what is the strategy? You should have a preliminary idea
of what the project involves and how the project will be developed.
2. Approximate financial costs; these can be global parametric costs and categories and ranges can be created. For example:
less than USD 60,000 / between USD 60,000 and USD 500,000, between USD 500,000 and USD 2,000,000, etc. This can then help in the
prioritisation of projects.
3. Implementation arrangements; it should take into account current capacities as well as existing regulations and the responsible
institutions and entities to be involved, and identify whether conditions are favourable for executing and implementing the project.
Categories can also be established, e.g.: No administrative changes required / Changes to by-laws or municipal regulations required
/ Creation of institutions or management bodies required / Management by other entities or institutions required / Metropolitan
coordination required.
4. Timeline and priority; short-medium-long with approximate number of years for each project.
2 Weeks
Urban finance
ACTIVITY
T44
Description

107. 107
PHASE 3: OPERATIONALISATION BLOCK H: PROJECT PRIORITISATION
Consolidate information relevant to each of the projects that were defined in Phase 2: Plan
List the benefits that the project would be delivering according to different categories.
For each project listed, list which goals are being met in the plan developed in Phase 2.
Fill in T44 Pre-feasibility Study Template per each project1.
2.
3.
4.
- Methodological Guide for the Operationalisation of Urban Projects (2018)
References
Steps
Participatory Workshop in Aluminé, Argentina, UN-Habitat

108. 108
Conduct a participatory exercise with key stakeholders to
prioritise strategic projects.
- Participatory project prioritisation - Mapping of responsibilities and co-responsibilities by project - Catalytic and strategic projects list linked to Strategies and Initiatives from Activity E21 in the Strategic and Spatial
Development Plan.
Participatory Prioritisation Guide
Objective Results
Tools
Participatory Prioritisation
Workshop
38
This activity seeks to involve various key stakeholders to jointly prioritise the projects , it's also an opportunity to assign roles to each
stakeholder, for each project. This is an important exercise to align and ensure sustainability and commitment in the implementation
of the plan. The workshop should involve the advisory and steering committees, as well as other stakeholders responsible for
implementing the projects and institutions, target groups and beneficiaries that would be directly or indirectly impacted or involved in
the project. These can be representatives of various public bodies of the municipal and central governments. Before the workshop, the
pre feasibility study can be shared with the participants so they can have an overview of the project lists and its pre feasibility.
First, the short list of projects and the information consolidated in the previous activity should be presented, which provides data that
will inform the decision on the prioritisation of projects. Then, a methodology can be applied where a score from 0 - 5 is assigned to
each project according to its contribution and alignment with the objectives and strategies of the plan (where 0 means no contribution
and 5 means high contribution). An alternative exercise is to have a project sheet printed out and a panel with a horizontal axis where
the left side is lower priority and the right side is higher priority. Participants should, in groups, agree to place the projects in order of
priority. This ensures that there is a multi-stakeholder discussion to reach an agreement. Subsequently, the groups present their results
and a debate is generated to reach a general consensus.
Next, the team must identify existing/ongoing initiatives, programmes, projects or instruments linked to each project. This exercise
is important, in order to align and not duplicate resources, capacities and lessons, and create synergies between them Then, the
workshop participants propose which stakeholders will be in charge of the implementation of each project. For this purpose, a matrix
can be printed out that includes the list of projects with two columns next to it: one to add the main responsible instance and the
other one for co-responsible instance(s). The aim is to generate discussion, consensus and commitment of the parties involved; and
to ensure the implementation and monitoring of projects. It is therefore important to facilitate the participation of all those present.
It should be a momentum to reflect upon the effects and benefits that each project can have on the city and how it responds to the
challenges identified in the diagnosis; as well as to visualise and foresee the process of execution and implementation of each project.
2 - 5 Days
Participation
ACTIVITY
T45
Prepare the workshop and required materials using the T7 Workshop Checklist and T45 Participatory Prioritisation Guide. Invite participants to prioritise the projects, either by assigning a score to each one or by placing them on a priority axis, from lowest to highest. Each group will present their results and a discussion will take place with the results to reach a consensus. Identify initiatives, projects and/or programmes that may be related to each project, whether led by the municipal or central government, civil society, academia, private sector, etc. For each project, identify a lead and co-responsible body(ies), generating consensus and commitment from the actors involved. Systematise the information (technical equipment) to be used as input for the next technical prioritisation activity, as the strategic projects list. 1.
2.
3.
4.
5.
6.
Description
Steps

109. 109
PHASE 3: OPERATIONALISATION BLOCK H: PROJECT PRIORITISATION
- Methodological Guide for the Operationalisation of Urban Projects (2018)
- Prioritisation of urban projects
References
Participatory Workshop in El Huecú, Argentina, UN-Habitat

110. 110
Determine the optimal order of implementation of
strategic projects and planned actions, taking into account
participatory prioritisation, available financial resources,
preliminary technical assessment, and benefits and
alignment with the plan's strategies.
- Project portfolio (prioritised projects).
Project Prioritisation Template
Objective Results
Tools
Project Technical
Prioritisation
39
This activity is carried out by the technical team and seeks to prioritise the list of projects based on the results obtained in the two
previous activities. The prioritisation helps to determine which projects are the most strategic to implement, considering that their
execution must address multiple challenges that the city faces, they must also respond to various objectives and strategies of the plan,
as well as their feasibility.
As a starting point, the team should define the criteria, such as: prioritisation/participatory acceptance, plan objectives addressed,
benefits (economic, social, environmental), institutional costs, financial costs, implementation time and technical feasibility. One way
to evaluate such criteria can be with an Analytical Hierarchical Process (AHP), in which project alternatives are evaluated by assigning
a numerical value (ideally no more than 5) to each criterion set. This ensures that they are all evaluated in the same way and can be
compared. This exercise ultimately results in a ranking of projects, where those with the highest scores are given the highest priority.
Although the criteria for evaluating projects may be the same, the prioritisation process will ultimately be different for each city,
according to the challenges, objectives and priorities faced. The benefits and impact that each project brings will have different values
in different contexts. For example, an intermediate coastal city that constantly faces disaster and climate change risks will likely value
a nature-based flood prevention solutions project more highly than a non-coastal metropolitan city.
After the exercise, the technical team adds up the score of each project and assigns a relative ranking to identify those that will make
up the strategic project portfolio. Ideally, this will be made up of no more than 10 priority projects. This exercise can also be replicated
to prioritise the initiatives the strategy framework.
1 Week
Urban finance
ACTIVITY
T46
Define the evaluation criteria for prioritisation, using the T46 Project Prioritisation Template as a guide. Establish the numerical scale values for each criteria. Evaluate all projects in the strategic projects list that resulted from the plan developed in Phase 2 (Strategic Projects Workshop (Activity 23) or Land Strategies (Activity 26)) against the established criteria, assigning a score per criterion. Add up the total score of each project and establish a relative ranking. Define the list of final prioritised projects that make up the strategic project portfolio. 1.
2.
3.
4.
5.
- Methodological Guide for the Operationalisation of Urban Projects
- Phase 2. Prioritisation of projects based on metropolitan impact Methodologies - Metropolitan
planning and management (p. 88)
- Project portfolio towards the vision of San Nicolás de los Garza 2030, Mexico (p.54)
- Project portfolio Ciudad Juarez Vision 2040
Description
References
Steps

111. 111
Hawassa, Ethiopia, UN-Habitat

112. 112
PHASE 3: OPERATIONALISATION BLOCK H: PROJECT PRIORITISATION
To analyse and assess how the expected project-related
investments in certain economic sectors can ripple
throughout other sectors, providing a comprehensive
understanding of potential direct, indirect, and induced
effects in the city’s economy.
- A comprehensive report detailing the potential economic impacts of a project or initiative included in the plan - Identification of key sectors that might be most affected - Projection of employment and output effects related to the project
Objective Results
Economic Impact Analysis
40
The Economic Impact Analysis (EIA) leverages the intricacies of the input-output tables that national authorities, bureaus and institutes of statistics tend to conduct regularly, revealing interrelationships within the national economy. It examines how activities in one sector affect other sectors, both as suppliers (input) and consumers (output). Given the interrelated nature of economic affairs, an injection (or withdrawal) of capital in, let’s say, the construction sector will also impact directly (hiring employees and buying materials) and indirectly (generating income in its suppliers) other sectors such as financial and insurance activities, information and communication, or electricity, gas, steam and air conditioning supply. Therefore, this tool will assist municipalities in understanding the broader implications of the implementation of the strategic projects and initiatives included in the plan, providing them with data-driven insights to make informed decisions.
The process encompasses the use of various matrices such as the Intermediate demand matrix, Final demand matrix, Value-added
matrix, and Production matrix. It also utilises foundational elements like the Leontief and Identity matrices to derive the Leontief inverse,
which then helps in calculating the multipliers, the coefficients that capture the impact an investment will have in the overall economy.
The purpose of this process is to understand how the investment on the strategic project and initiatives can bring economic benefits
to other sectors as well, creating an economic ripple effect.
By understanding these interrelationships and the potential multipliers, city planners and decision-makers can anticipate how projects
may stimulate (or detract from) local economic activity, guiding them in making more strategically sound decisions, and preparing
them better to present compelling project proposals to higher-level authorities or to potential donors and partners.
Note: The tools for this activity are currently under development and will include a comprehensive template and advanced analytical
tools to facilitate a more user-friendly and efficient economic impact analysis process.
1 Week
Urban finance
ACTIVITY
Gather and analyse the existing input-output table (suppliers (input) and consumers (output)) for the relevant region or municipality. Define the project or initiative's economic input (e.g., the amount of investment or withdrawal). Utilise the Leontief Matrix to determine direct proportional relationships among various sectors. Apply the Identity Matrix and calculate the Leontief inverse to understand the cumulative effects. Derive multipliers to estimate the broader economic impact of the proposed change in spending or investment. Interpret the results and draft a comprehensive EIA report, detailing potential economic benefits, job creation, and other relevant impacts from the plan's implementation Present findings to stakeholders and incorporate feedback.1.
2.
3.
4.
5.
6.
7
Description
Steps

113. 113
- Input-Output Analysis: Foundations and Extensions
- Encyclopedia of Social Measurement
- A Primer in Economic Multipliers and Impact Analysis Using Input-Output Models
- Supply, Use and Input-Output Tables
- A Guide to Input-Output Model Multipliers (Part 1)
- Ha1ndbook on Supply and Use Tables and Input Output-Tables with Extensions and Applications
- Guidelines on Impact Assessment for EU Lamfalussy Level 3
- Economic Impact Assessment: An Overview
- An Introduction to Economic Impact Assessment
- Saudi Vision 2030 Dynamic Input-Output Table: A Tool for Quantifying the Sustainable Development
Targets of Saudi Arabia
References
Las Lajas, Argentina, UN-Habitat

114. 114
PHASE 3: OPERATIONALISATION BLOCK H: PROJECT PRIORITISATION
Develop the necessary information for the implementation
of strategic projects, in terms of technical approach and
feasibility. - Strategic project fact sheets, which include key information for the development of the project
Objective Results
Development of Strategic
Project Sheets
41
This activity is based on the pre-feasibility study carried out in the Project Preparation (Activity 37). It involves the elaboration of
technical and economic studies that go in depth on each of the projects that make up the project portfolio. This means that only for
those projects, from the predefined list in E23, that have a high level of certainty in terms of execution will have the studies mentioned.
The sheet expands in detail on the project's strategy and technical solution, as well as its more specific components and activities.
It also elaborates on its objectives and benefits in terms of technical, social, economic, environmental, climate change mitigation or
adaptation and specifies costs. It also includes a cost-benefit analysis, which is carried out to ensure that the project is feasible. In case
the costs are higher than the benefits, the project will have to be adjusted or reconsidered. However, it is quite possible that this can be
avoided by following the above steps of project preparation and prioritisation.
Using the T47 Strategic Project Sheet Template as a guide, all information is captured in a technical sheet template for each strategic
project, including also its location, alignment with objectives and strategies, responsible and co-responsible bodies, beneficiaries,
linkage with existing initiatives, conceptual design or target image, and additional requirements
4 Weeks
ACTIVITY
Review the consolidated information relevant to each of the projects that were defined in Project Preparation (Activity 37). Review the information required to prepare the project sheet and consolidate the information you already have from previous activities. Use the T47 Strategic Project Sheet Template as a guide. Define the specific objectives of each project in technical, social, economic and environmental/climate change terms. Develop the project strategy, its components and, if possible, the activities involved. Develop the conceptual design of the project if possible, to better detail its components and spatial characteristics. This information can have different levels of detail depending on the resources available, from a schematic plan, a target image, to a preliminary technical dossier (pre-project). Identify whether any additional requirements are necessary for the implementation of the project (e.g. an environmental impact study, the formation of a committee, etc.). Determine project costs from a more detailed budget, considering technical requirements and components. Carry out a cost-benefit analysis. Consolidate each project´s information in a strategic project sheet.1.
2.
3.
4.
5.
6.
7.
8.
9.
Description
Steps
Strategic Project Sheet Template
Tools
T47
- Methodological Guide for the Operationalisation of Urban Projects (2018)
- San Nicolás de los Garza 2030 Strategic Project Portfolio (p. 68)
- Nichupté Bridge Master Plan (p. 288)
- Equity Park Master Plan (p. 381)
References

115. Bolama, Guinea-Bissau, UN-Habitat

116. 116
Workshop to present and validate the results from the
prioritisation and programming of projects with different
stakeholders - Validation of project programming - Receive feedback from experts and key stakeholders to consolidate the strategic project portfolio
Workshop Checklist Citizen Engagement Guide
Objective Results
Tools
Presentation and Validation of
Results (Project Prioritisation)
42
This activity is composed of two moments, the first will be a full-day internal collaborative validation session. The second moment
should be customised in terms of format and timing; it should cater to different segments of the general public -without losing sight of
each project's vision, strategies and objectives. It will also depend on the type of role or level of participation desired from the general
public.
The internal validation session is a workshop format with the various stakeholders who were part of the Participatory Prioritisation
Workshop (Activity 38). This exercise aims to reinforce the collaborative process between the parties involved, resulting in ownership
of the plan by all stakeholders, making them "champions" of the strategic project portfolio. The objective of this session is also to ensure
that the expectations of the process, outcome and impact of each project are aligned among the different stakeholders. If necessary,
the session can be extended to two days, depending on the complexity of the context, the time availability of the participants and the
capacity of the technical team.
Using the T7 Workshop Checklist as a guide, the team will lead the workshop session. This should consist of a detailed presentation of
the prioritised project portfolio. Then, the team will confirm with everyone whether the process, outcome and impact expectations of
each project are met. Finally, for each project, the responsible and co-responsible entities will be verified.

In the second moment, the team will use the T41 Citizen Engagement Guide, and use this activity as an opportunity for different civil
society groups to be strategic stakeholders or better yet, Champions of one or several projects. This requires socialisation, consultation
and involvement. At this point, it is very important for the team to be open to possible differences of opinion regarding the process,
outcome and impact of each project. It is very important from this point onwards to maintain assertive communication and to manage
the expectations of those who will be impacted by one or more projects.
As with the stakeholders, for each project the team should identify which civil society groups can be Champions of specific projects or of
the project portfolio in general. These groups should be aware of the implementation process and even assume certain responsibilities
for the effective implementation of the project portfolio.
Consideration: It may be the case in some cities where a process of validation and consultation with neighbours is required by law.
However, it is considered appropriate in those cities where it is not a requirement of the planning process to make the effort to carry
out one of the three components of the guide (socialise, consult or validate).
Variable
Participation
ACTIVITY
T7
T41
Description

117. 117
Moment 1
Prepare the workshop and required materials using the T7 Workshop Checklist.
Invite participants to validate the project portfolio (process, outcome and impact) and validate expectations.
Facilitate a discussion with the results to reach a consensus.
For each project, verify the main responsible actor and other proposed co-responsible entities, generating consensus and
commitment of the actors involved.
Systematise information (technical team).
Moment 2 (Plan to present results to civil society)
Determine the content that requires validation and all information that will give context to what will be validated in this activity.
Using T41 Citizen Engagement Guide and the results of T13 Participation Plan Guide, determine the activities that are best suited
to the content to be presented.
Convene as outlined in the Communication Strategy (Activity 10) and the database collected from the Public Launch of the
Planning Process (Activity 11).
Carry out the activities set out in step 2.
Document the results of the activities in a report.
Remind participants of the next activities and next steps.
If necessary, share the team's contact information with the new stakeholders involved.
Review inputs and incorporate them into the Strategic Development and Spatial Plan.
1.
2.
3.
4.
5.
1.
2.
3.
4.
5.
6.
7.
8.
Steps
Gorongosa, Mozambique, UN-Habitat
PHASE 3: OPERATIONALISATION BLOCK H: PROJECT PRIORITISATION

118. I

119. 43.
Land Management
Instruments
46.
Governance and
Management
Instruments
44.
Financial Instruments
47.
Action Plan
45.
Legal Instruments
48.
Presentation and
Validation of Results
(Action Plan)
I
BLOCK
Instruments
The objective of this block is to propose an action plan for the strategic project portfolio defined in the
Project Programming block and the initiatives defined in the Strategic Development and Spatial Plan block.
This plan will contain the land management, regulatory, financial and governance instruments that the
team will determine, considering the institutional capacities of local and metropolitan governance bodies to
operate and manage them.
1 week
1 week
1 week 1 week
1 week 1 week
2 tools
1 tool 1 tool
1 tool 1 tool
2 tools
Urban finance
Participation

120. 120
Make a proposal for land management instruments for the
strategic project portfolio and/or initiatives linked to the
goals and strategies. - Land tenure mapping - Proposed land management instruments
Land Tenure Typologies Guide Land Management Instruments Guide
Objective Results
Tools
Land Management
Instruments
43
The purpose of this activity is to evaluate and analyse the existing land use regulation and management system in terms of information
on land parcels, rights and tenure. Based on the analysis of the land use management system, we proceed to define the land
management instruments that will allow the mobilisation and valorisation of land, as a result of public investment and regulations that
will increase the possibility of having better urban financing.
What is land tenure?
Land tenure is the relationship between people and land. Each country establishes land tenure legislation to define how land rights are
allocated and administered. They also define how access, rights of use, control and transfer land is granted, as well as the associated
responsibilities and restrictions. In simple terms, land tenure systems determine who can use which resources, for how long and under
what conditions.
Land tenure is an important part of social, political and economic structures. It is multidimensional and brings into play social, technical,
economic, institutional, legal and political aspects that are often overlooked but need to be taken into account. Land tenure relations
may be well defined and enforced in a formal court of law or through customary structures in a community. Alternatively, they may be
ill-defined, ambiguous and open to exploitation.
What are land management instruments?
Land management instruments are those that facilitate land use planning by handling aspects linked to the exercise of planning,
establishing financing and facilitating actions in the physical space. Within the process of land use and urban planning that municipal
authorities deal with when defining uses and intensities, together with facilities and infrastructure that have an impact on the generation
of capital gains, the legal framework sets out a series of land management instruments that can facilitate actions and their financing
in the physical space.
A number of land management instruments are available within the different scales of legislation (national, regional and municipal
laws) which should be chosen according to their degree of feasibility and compatibility with the proposed strategy, the secondary
zoning and the previously established initiatives and projects and which, if necessary, will be complemented by specific regulations.
With this in mind, this activity begins with a proper understanding of the current situation of the land in the city if there is any instrument
for managing, regulating and optimising land development and the spatial organisation of improvements and uses of land.
With a clear understanding of the system in place, the next step is to map the current land tenure situation of the Development
Zones (Activity 21). It should also be considered, if necessary, to do this land tenure mapping in those areas where projects from the
strategic project portfolio are located, which require land for their implementation. The intention of mapping at the zone or sub-zone
scale allows the technical team to obtain results on the legal status of each property within a reasonable period of time. Progressively,
the city will have a better understanding of the current land tenure situation at the city scale each time it proposes new partial plans
or neighbourhood plans. The team will use the T48 Land Tenure Typologies Guide for the classification and mapping for both formal
and informal land.
1 Week
ACTIVITY
T48
T49
Description

121. 121
PHASE 3: OPERATIONALISATION BLOCK I: INSTRUMENTS
Once there is an understanding of the legal situation of the land that is part of the area of interest (i.e. sector plan, neighbourhood plan
or portfolio of strategic projects) the team can start with the process of formulating a proposal for land management instruments,
applicable to the municipality and the context of the project. This proposal of instruments should be made using the results of:
Formulation of Strategies and Initiatives (Activity 22), the strategic project portfolio Development of Strategic Project Sheets
(Activity 41) and/or the projects of the Land Management Plan (Block F).
The land management instruments, that will allow the fulfilment of the city´s strategy and vision, should take in consideration the
reality of the municipality in its urban and rural areas; particularly in the specific areas or sector were the projects will be implemented
in. The technical team will define the management instruments compatible to the context of the urban area and applicable to the
municipality using the T49 Land Management Instruments Guide.
Identify the strategic development areas identified in the Development Zones (Activity 21), and the projects in the strategic
project portfolio Map the legality of the land contained within these plans and projects using the T48 Land Tenure Typologies Guide. Review the results of Formulation of Strategies and Initiatives (Activity 22), the strategic project portfolio Development of Strategic Project Sheets (Activity 41) and/or the projects of the Land Management Plan (Block F). Make a proposal for land management tools for the strategic project portfolio and/or initiatives identified in Phase 2; using the T49 Land Management Instruments Guide.1.
2.
3.
4.
5.
Steps
- Innovative Land and Property Taxation (2011)
- Secure land rights for all
- Land Professionals in the Arab region: roles, capacities and contribution to land governance and land tenure security
- Sustainable peace through women's empowerment and access to housing, land and property rights
- Framework for assessing continuing land rights scenarios
- Tenure-focused land use planning
- Eviction Impact Assessment Handbook
- Methodological Guide for the Operationalisation of Urban Projects (2018)
- Framework for the Costing and Financing of Land Administration Services
- Participatory and Inclusive Land Readjustment (PILaR)
- Soil and natural disasters
References

122. 122
Make a proposal of financial instruments for the strategic
project portfolio and initiatives identified in the plan.
- Proposed financial instruments for the Strategic Project Portfolio and initiatives identified in Phase 2
Financial Instruments Guide
Objective Results
Tools
Financial Instruments
44
This activity seeks to provide alternatives that substitute or complement the resources coming from the municipal budget, understanding that transfers from the central government and the ordinary local budget are not sufficient. The New Urban Agenda promotes the collection of local governments' own revenues in order to contribute to fiscal decentralisation and the expansion of revenue sources (UN-Habitat, 2020; UN-Habitat, 2021). It should be emphasised that the expansion of revenue sources requires greater coordination and cooperation between levels of government and sectors.
Using as a basis the strategic project portfolio (Development of Strategic Project Sheets (Activity 41), and/or initiatives identified
in Block E (Formulation of Strategies and Initiatives (Activity 22) or Block F (Land Strategies (Activity 26)) and the results of the
Financial Resources Review (Activity 3), the team should identify and propose the mechanisms for financing urban development
in order to achieve the mobilisation and capture of land value; allowing self-financing under the principle of those who benefit the
most contributing the most to pay for it. The financial instruments should integrate the procedure to be followed in accordance with
municipal and central legislation so that the planning instrument developed acquires legal certainty or validity.
The team will use the T50 Financial Instruments Guide which will give the technical team a better understanding of the different
sources of funding, considering the following strands:
Own income
The urban financing mechanisms that are considered in central and local laws, seeking to ground them in the strategy and reality of
the municipality.
External sources of funding that do not depend on the budget or municipal revenues, and which are via borrowing, central government
and non-governmental organisation funding, private participation, etc.
With the categorisation of financial instruments, the team will be able to learn about entities that can provide technical assistance
and/or funds for such instruments in order to make a proposal of financial instruments for each prioritised project of the strategic
project portfolio, according to the objectives of the municipality and what is allowed in its national and municipal legislation. The
team will finally be able to select those that best suit its context, as well as propose and develop additional financial instruments to be
considered.
1 Week
Urban finance
ACTIVITY
T50
Description
Review the fact sheets of the Development of Strategic Project Sheets (Activity 41). Review the initiatives that were established in the Formulation of Strategies and Initiatives (Activity 22) (if Block E was developed) or Land Strategies (Activity 26) (if Block F was developed).
Considering the strategic project portfolio and the initiatives, identify the financial instruments that may be useful, using the table in the T50 Financial Instruments Guide. 1.
2.
3.
Steps

123. 123
PHASE 3: OPERATIONALISATION BLOCK I: INSTRUMENTS
- Finance for City Leaders Handbook (2017)
- Rethinking City Revenue and Finance (2022)
- Land and Property Taxes (2011)
- Value Capture and Land Policies (2012)
- Innovative Land and Property Taxation (2011)
- Rapid Financial Assessment for Planned City Expansion (PCE)
- UIIF Urban Infrastructure Insurance Facility
- Leveraging Land: Land-based Finance for Local Governments - A Reader (2016)
- Financing Sustainable Urban Development (2021)
- PPP Reference Guide 3.0
- Public-Private Partnership Handbook (2008)
- Methodological Guide for the Operationalisation of Urban Projects (2018)
- Climate Finance Reports and Tools
References
Hanoi, Vietnam, UN-Habitat

124. 124
Identify the necessary amendments to laws at different levels
of government, and existing regulations at the national level,
that will enable the implementation of the plan. Similarly,
this activity aims to identify any complementary legislation
and/or legal instruments that will need to be developed and
brought into force to enable the implementation of the plan.
- Identification of improvements to the existing regulatory framework. - Proposals for complementary legislation
Regulatory Instruments Guide
Objective Results
Tools
Legal Instruments
45
Land development requires regulatory frameworks and legal principles to support urban planning and design initiatives. Urban legislation is often one of the biggest obstacles to decision-making, as many urban legal systems - laws and regulations - are out of step with the prevailing urban reality (UN-Habitat, 2012). In this sense, well-formulated, evidence-based urban legislation in line with urban plans and projects is necessary for the implementation of policies and programmes aimed at sustainable urbanisation.
Naturally, the instruments will determine clear rules to establish the implementation of the plan, and should therefore be contemplated
in the national or municipal legal framework. If this is not the case, as a complement to the proposal for land management, financing
and governance instruments, the necessary adaptations, modifications or updates to legislation should be proposed to guarantee the
feasibility of their implementation, within a coherent legal framework.
Thus, changes in legislation that are considered relevant, such as criminal and administrative sanctions for those who contravene
the instrument in any way, or particular rules to achieve land mobilisation and capital gains capture, should be raised in this activity,
together with the case that the legislation does not allow its implementation in accordance with the project that has been proposed.
For this activity, the team should carry out two components. The first is the identification of improvements to the regulatory framework.
This involves identifying the strengths and weaknesses that exist in laws, regulations, and norms at the national and municipal levels,
in order to establish regulatory frameworks that allow for the application of the financial and management instruments and projects
previously identified. The second component consists of making a proposal for complementary regulations in which the team proposes
particular rules to complement or replace existing management instruments.
As a starting point, the technical team will identify gaps in current regulations. This involves conducting a comprehensive review of
the existing legal framework, identifying areas for improvement at national, regional and municipal levels. It will use the results of the
Legal Framework Review (Activity 2). The objective here is to identify gaps in critical areas such as demographics, access to housing,
access to services, urban precariousness, risk to natural phenomena, informal settlements, among others.
In addition, the laws and/or regulations to be developed, improved, adapted or adjusted in the context of the strategic project portfolio
(Development of Strategic Project Sheets (Activity 41)), and initiatives identified in the plan developed in Phase 2. For this, the team
will list the policy instruments to be modified, and detail the area of improvement in each.
Finally, as part of the proposal for complementary standards, the team will develop an approach for particular standards to complement
or replace existing management instruments, according to categories of scope, impact and feasibility in the context of the strategies
and initiatives, as well as the strategic project portfolio.
In addition, lessons that were learned during the planning process can generate a list of recommendations and best practices that will
support and facilitate the development of other plans within the country. This will improve the new plans and also unblock some of the
challenges faced in previous experiences.
1 Week
ACTIVITY
T51
Description

125. 125
PHASE 3: OPERATIONALISATION BLOCK I: INSTRUMENTS
Identify gaps in existing regulations, using the Legal Framework Review (Activity 2).
Use the T51 Regulatory Instruments Guide to identify gaps in laws and regulations to be improved that apply to the strategies
and initiatives, and to the strategic project portfolio.
In the context of the prioritised projects and initiatives, develop an approach for particular rules to complement or replace
existing management instruments, according to the categories of scope, impact and feasibility.1.
2.
3.
Steps
- Framework for the assessment of the Urban Planning Regulations
- Climate Change Legal Tools
References
Hanoi, Vietnam, UN-Habitat

126. 126
This section will propose a governance model for the plan
and for each of the prioritised projects. To this end, an
organogram for the plan implementation will be develop
and the different actors or managers of each project will be
identified in order to then propose the governance model
based on collaboration between actors.
- Proposed organogram for the plan - Proposed management model for the prioritised strategic p
Governance Instruments Guide
Objective Results
Tools
Governance and Management
Instruments
46
The implementation of urban plans, as well as the various financial and management mechanisms required, demand greater
coordination and cooperation between levels of government and sectors. It is therefore necessary to establish an urban governance
structure designed to ensure accountability, transparency, responsiveness, rule of law, stability, equity, inclusiveness, empowerment
and pluralistic participation (UN-Habitat, 2020; UN-Habitat, 2021).
In order for management and governance to be aligned with the plan, the team must take into account the strategic project portfolio
(Development of Strategic Project Sheets (Activity 41)) and the strategies and initiatives developed in the plan during Phase 2.
The institutional strengthening and reinforcing the governance structure of the plan, which involves reinforcing its human, material,
financial and autonomy, is important to ensure an inter institutional coordination and memory to guarantee their adequate
implementation.
An organogram of the current institutional framework is necessary in order to analyse if there is any overlap of responsibilities between
different institutions and the existence of various project-specific institutions and offices. An articulated and negotiated review of
an organogram will be jointly developed presenting the responsibilities of the institutions acting in the territory and their role in the
planning process and its implementation.
In order to determine the governance instruments, the team will use the results of T12 Stakeholders' Mapping as a basis. Then, using
the T52 Governance Instruments Guide, the team will be able to determine both the systems of action for the project portfolio and the
initiatives, as well as the responsible entities and management mechanisms.
The management instruments allow for concentration between different areas of the public sector or between the public and private
sectors for the development of the strategic project portfolio and thus the actions contemplated in the plan.
1 Week
ACTIVITY
T52
Description
Review the initiatives that were established in the Formulation of Strategies and Initiatives (Activity 22) (if Block E was developed) or Land Strategies (Activity 26) (if Block F was developed). Review the results of T12 Stakeholders' Mapping and then develop an organogram of the current institutional framework and
their role in the plan's implementation. Identify institutions responsible and co-responsible for the initiatives. Review the results of the Development of Strategic Project Sheets (Activity 41) which includes the bodies responsible and co- responsible for implementation. Use the T52 Governance Instruments Guide to propose a management model for the strategic project portfolio and initiatives. 1.
2.
3.
4.
5.
Steps

127. 127
PHASE 3: OPERATIONALISATION BLOCK I: INSTRUMENTS
- A Guide to Developing Collaborative Partnerships in Civil Society
- Governance Assessment Framework for Metropolitan, Territorial and Regional Management-
- Collaborative Map
- RACI Matrix
References
San Nicolas de los Garza, Mexico, UN-Habitat

128. 128
Review and present all instrument proposals for priority
projects with stakeholders in order to find alliances, but
also to obtain external and expert opinions. Consolidate
the final Action Plan Matrix, which consists of a roadmap
defining responsibilities, priorities, funding, management
and regulatory mechanisms.
- Final Action Plan Matrix
Action Plan Matrix
Objective Results
Tools
Action Plan
47
The action plan is a planning tool that will facilitate the implementation of the programmes and projects that make up the Plan. It also integrates the allocation of the necessary management, financing and regulatory mechanisms for the implementation of the actions and projects. All of this is consolidated in a matrix that aims to provide decision-makers with a clear and concise roadmap on how to implement each strategic project of the strategic project portfolio and initiatives established in the plan during Phase 2.
The components included in the matrix take as a starting point the results of the Land Management Instruments (Activity 43),
Financial Instruments (Activity 44), Legal Instruments (Activity 45) and Governance and Management Instruments (Activity 46).

Once the matrix is in place, the team will be able to find partnerships, establish councils and commissions for the implementation of
each priority project.
1 Week
ACTIVITY
T53
Review the above activities and complete matrix T53 Action Plan Matrix for each priority project. Sharing, validating with key stakeholders involved and finding partnerships to achieve the concretisation of instruments and projects according to the action plan.1.
2.
3.
- Nichupté Bridge Master Plan (p. 535)
- Equity Park Master Plan (p. 186)
- Ciadad Juarez City Vision
Description
References
Steps

129. 129
PHASE 3: OPERATIONALISATION BLOCK I: INSTRUMENTS
Workshop to gather input from the different actors involved
regarding the instruments that will operationalise the project
portfolio. - Validation of the Action Plan.
Objective Results
Presentation and Validation
of Results (Action Plan)
48
The presentation and validation of the Action Plan will be a workshop with the different actors and teams that were part of the formulation
of the Block I Instruments. This exercise seeks to reinforce the collaborative process between the parties involved, achieving as a
result an appropriation of the plan by all those involved, going from being "actors" to "promoters" of the Action Plan. The objective
of this session is also to ensure that the responsibility and co-responsibility, system of action, timeline, financial, regulatory and land
management instruments of each project are aligned among the different stakeholders. If necessary, the session can be extended to
two days, depending on the complexity of the context, the time availability of the participants and the capacity of the technical team.
Using the T41 Development of Strategic Project Sheets and T7 Workshop Checklist as a guide, the team will lead the workshop
session. This should consist of a detailed presentation of the action plan matrix. Then, the team will confirm with everyone whether
responsibility and co-responsibility, system of action, timeline, financial, regulatory and land management instruments of each project
are met.
Once this validation is in place, the team together with the project responsibles and co-responsibles can go to different entities to find
partnerships, establish committees for the implementation of each priority project.
Consideration: It may be the case in some cities where a process of validation and consultation with neighbours is required by law.
However, in those cities where it is not a requirement of the planning process, it is considered appropriate to make the effort to carry
out one of the three components of the guide (socialise, consult or validate).
ACTIVITY
Design the session and required materials using the T41 Citizen Engagement Guide and T7 Workshop Checklist. Invite participants to validate the action plan matrix and validate expectations. Facilitate a discussion with the results to reach a consensus. For each project, rectify the main responsible institution and other proposed co-responsible institution(s), generating consensus and commitment of the actors involved. Systematise the information (technical team). 1.
2.
3.
4.
5.
Description
Steps
Workshop Checklist
Citizen Engagement Guide
Tools
T7
T41
1 Week
Participation

130. J

131. This block aims to develop a monitoring and evaluation framework for the plan's strategies and initiatives,
as well as for the strategic projects that make up the portfolio. It is elaborated on the basis of a matrix
of indicators and a monitoring strategy, which also includes the bodies responsible for data collection,
monitoring period, methodology, etc.
49.
Monitoring and
Evaluation Framework
50.
Monitoring and
Evaluation Strategy
J
BLOCK
Monitoring and
Evaluation
3 weeks 1 week
1 tool 3 tools
Participation

132. 132
Develop a framework to monitor and evaluate the progress
of the Plan, the localisation and impact of the SDGs at city
level and the local implementation of the New Urban Agenda. - List of targets and key performance indicators for the established initiatives - List of goals and
Thematic Issues Checklist Monitoring and Evaluation Framework Indicator Summary Matrix
Objective Results
Tools
Monitoring and Evaluation
Framework
49
In this activity, a monitoring and evaluation framework is defined to assess the fulfillment and results of the plan. To this end, specific
targets and indicators must be defined to monitor the goals set for each initiative established in the plan (Block E Strategic Development
Plan or Block F Land Management Plan). Indicators should also be defined to assess the implementation of the strategic project
portfolio (Development of Strategic Project Sheets (Activity 41)).

International agendas and frameworks, such as SDG indicators; national strategies, such as monitoring and evaluation frameworks for
NDCs (Nationally Determined Contributions) and NAPs (National Adaptation Plans) and the Voluntary National Assessment of the SDGs,
if available, should be consulted for linkages with these.
First, the targets defined for each initiative in the framework of strategies and initiatives should be reviewed and complemented.
These should be clear, coherent, specific, measurable, with a defined timeframe (e.g. in ten years) and it should be clear whether an
upward or downward trend is sought for each one. The municipal context should also be taken into account, such as the municipality's
constraints and capacity to both meet and measure the targets. Then, for each target, an indicator should be determined with its unit
of measurement, the methodology to assess it, the baseline, the monitoring period, the expected trend, the specific scale or location
where it will be assessed, and the institution in charge of data collection linked to the indicator.
Monitoring indicators should then be determined for the strategic project goals defined in Project Programming Block H ( Review
Development of Strategic Project Sheets (Activity 41)). These should be specific to the different types of objectives (technical, social,
environmental and climate change, sustainability, etc.). Each should indicate units of measurement (e.g. minutes, square metres,
number of people, etc.).
3 Weeks
ACTIVITY
T26
T54
T55
Description
Review the goals set out in the framework of goals, strategies and initiatives and adjust them to make them feasible according to
the municipality's capacities. Define specific targets for an established time frame if this has not been done before.
Review and link targets with those set out in the 2030 Agenda and the NUA, to align the plan's goals with global agendas.
Define indicators for each target, as well as their unit of measurement, the methodology for assessing them and the specific area
or sector to be assessed (T54 Monitoring and Evaluation Framework).
Review global indicators: Global SDG Indicator Framework, New Urban Agenda (NUA) Indicator Framework, Urban Monitoring
Framework (UMF), City Prosperity Index (CPI)
Determine for each indicator: its unit of measurement, the source from which it has been obtained, the institution in charge of
collecting the data, the methodology for measuring it, the scale or area where it will be evaluated, the baseline, the monitoring
period and the expected trend.
For strategic projects, review the specific objectives set out in the project sheet and define an indicator for each one.
Consolidate the matrix of indicators for both initiatives and strategic projects (T55 Indicator Summary Matrix). 1.
2.
3.
4.
5.
6.
Steps

133. 133
PHASE 3: OPERATIONALISATION BLOCK J: MONITORING AND EVALUATION
- Sustainable Development Goals Indicators and Monitoring Framework
- Manual for the Preparation of Voluntary National Reviews
- Bissau 2030 Sustainable Development Plan: City Prosperity Initiative
- Prosperous Cities Index (Mexico)
- New Urban Agenda Monitoring Framework
- Global Urban Monitoring Framework
- Next steps under the Paris Agreement and the Katowice Climate Package
- Project SDG Assessment Tool
- San Nicolas de los Garza Vision 2030 (pg. 214)
- Ciudad Juarez City Vision (pg. 176)
References
Bolama, Guinea Bissau, UN-Habitat

134. 134
Develop a strategy for monitoring and evaluation of the plan. - Roadmap for monitoring and evaluation of strategies and
initiatives, and strategic projects
Monitoring and Evaluation Framework
Objective Results
Tools
Monitoring and Evaluation
Strategy
50
Once the monitoring and evaluation framework has been defined, including the matrix of indicators for the initiatives and strategic
projects, it is necessary to establish a strategy to follow up on the plan. This includes establishing responsible bodies, as well as
participation and socialisation mechanisms that involve citizens.
The indicator matrix defines which body will be responsible for data collection for each indicator. However, from this, the institution or
body responsible for monitoring the whole plan and its indicators as a whole should be determined. This may also include the formation
of a new body, such as a citizen observatory. Depending on the monitoring period established, a roadmap is drawn up for follow-up.
In addition, other groups from civil society and academia should be identified to monitor the progress of the plan, such as NGOs, civil
organisations, observatories, community groups, research groups, or any group that represents the people who benefit from the plan's
actions and projects.
Finally, the strategy should also contemplate communication and citizen participation mechanisms to report on the progress of
the plan. This will help citizens to be involved and thus be able to follow up and demand accountability and responsibility in the
implementation of the initiatives and strategic projects.
1 Week
Participation
ACTIVITY
T54
Define bodies, areas or institutions in charge of monitoring and strategy to carry it out, based on the indicator matrix developed in the previous activity (T54 Monitoring and Evaluation Framework). Develop a roadmap for tracking indicators within the monitoring and evaluation framework. Identify social stakeholders to collaborate in the monitoring and follow-up of the plan. Define a communication strategy, socialisation and participation mechanisms for monitoring and evaluation. 1.
2.
3.
4.
- Sustainable Development Goals Indicators and Monitoring Framework
- Manual for the Preparation of Voluntary National Reviews
- Bissau 2030 Sustainable Development Plan: City Prosperity Initiative
- Prosperous Cities Index (Mexico)
- New Urban Agenda Monitoring Framework
- Global Urban Monitoring Framework
- Next steps under the Paris Agreement and the Katowice Climate Package
- Project SDG Assessment Tool
- Principe 2030
Description
References
Steps

135. 135
Bahir Dar, Ethiopia, UN-Habitat

136. 136
IMPLEMEN-
TATION

137. 137
IMPLEMEN-
TATION
BLOCK K. IMPLEMENTING MECHANISMS
BLOCK L. FOLLOW-UP STRATEGY
How are the projects and the plan implemented?
Once the plan is developed, it must be approved and adopted as a legally
binding document. From there, the implementation phase aims to put in place
all the necessary mechanisms to execute the strategic actions and projects
of the plan, as well as to guide future urban development. This includes the
management and mobilisation of resources for the implementation of the
strategic projects, as well as the plan's monitoring strategy to evaluate the
plan, communicate progress, and reflect on the incremental improvements
in the planning process.
04

138. K

139. The Implementation Mechanisms Block aims to have the plan approved by the responsible government
authorities, and to ensure that there is a clear and coordinated process and work plan for the implementation
of the plan, including investment and resource mobilisation.
54.
Implementation Work
Plan
55.
Implementation of the
Plan’s Projects and
Actions
51.
Plan Approval
52.
Resource Mobilisation
53.
Project Management
K
BLOCK
Implementation
Mechanisms
Variable time 1 week 1 week
2 weeks Variable time
3 tools
1 tool 1 tool
Urban financeParticipation
Participation
Participation

140. 140
Get the plan approved by the responsible government
authorities, in accordance with local legal and administrative
requirements. - Modifications according to local legal, regulatory and administrative requirements. - Approval of the plan (permission granted by the government)
Objective Results
Plan Approval
51
This activity starts the last phase of the methodology, Phase 4. Implementation, and aims at carrying out all the tasks necessary for the approval of the plan by the competent governmental authorities.
The approval of the plan is the start of the implementation of everything that has been planned, and is therefore of great importance.
This activity will be carried out by the technical team and will need to focus all efforts on getting the plan accepted as valid by
the competent government entity and moving forward. This may include public consultation, internal approval and approval by the
council or government entity of the municipality. In turn, given the many local specificities that will depend on the context, the timing of
this activity will depend on local timelines and procedures.
In order to achieve approval, the technical team will need to review the necessary regulatory and administrative requirements of
the competent authority. These requirements will vary depending on the context and country, as explained in the Legal Framework
Review (Activity 2). It is therefore necessary to conduct a review of these requirements and then make any necessary adjustments
and modifications to bring the plan in line with them. In this way, once all the necessary adjustments have been made, the plan will be
ready and there should be no controllable impediment to its approval.
It should be noted that depending on the context this process may have different stages and requirements. It is therefore proposed
that a prior exercise of review and understanding of all the procedures necessary for the approval of the plan be carried out. Thus, it will
be important for the technical team to understand and be aware of the steps, functions and deliverables at each stage of the approval
process, as these will vary according to the context.
Once all the necessary revisions have been made, the plan is submitted to the relevant authorities according to the context for
approval, acceptance and implementation, thus beginning the implementation phase of the urban planning process.
Variable time
Participation
ACTIVITY
Review all regulatory and administrative requirements required by the competent governmental authorities for the approval of the plan against the Legal Framework Review (Activity 2). Make any necessary modifications to bring the plan into line with the requirements in each context. Review and understand all necessary procedures in terms of steps, time and documentation required by the authorities depending on the context. Submit the plan to the relevant government authorities for approval, acceptance and implementation.1.
2.
3.
4.
Description
Steps

141. PHASE 4: IMPLEMENTATION BLOCK K: IMPLEMENTATION MECHANISMS 141
Validation workshop, Luanda, Angola, UN-Habitat

142. 142
To mobilise resources to ensure the completion of the plan's
actions and projects and make the best use of existing and
potential resources from different bodies, both internal and
external (foundations, public sector, private sector, etc.).
- Resource mobilisation plan for the implementation of the plan and projects - Mapping of potential external finance sources
Objective Results
Resource Mobilisation
52
This activity consists of mobilising the resources identified as necessary for the implementation of the plan and projects. For this purpose, the results of the Financial Resources Review (Activity 3) are reviewed and updated, as well as the resources defined for each project in Block H Project Prioritisation.
It will be essential to develop a list of the external resources needed to carry out the implementation of the plan. This list is very
important, as it will help to find solutions for each of the missing resources and items. Solutions may take the form of sub-contracting,
grants, international programmes, tenders, public-private partnerships (PPPs), etc. Further funding support and contributions may be
sought through available services, fundraising and private investments from other partners or NGOs or international calls for proposals
(this activity includes a regularly updated catalogue of international donors in T65 List of Official Aid to Development Sources). Job
vacancies should be advertised through official local government channels with appropriate terms of reference that ensure an equal,
meritocratic and inclusive procedure.
In order to attract external investors and make projects more bankable, it is highly recommended to conduct rigorous analyses of
the city’s economy and finances. This shouldn’t be limited only to the use of T4 City's Financial Assessment Guide, but also include
economic forecasts, ratio analysis and financial projections. Municipalities that have assessed their own creditworthiness are better
equipped to convince potential investors about the financial viability of their projects.
Then, using the T56 Resource Mobilisation Plan for Implementation, a resource mobilisation plan is made detailing dates, amounts of
capital and people, as well as the origin of each of them and the requirements needed to obtain them.
Finally, it is recommended that the resource mobilisation plan be monitored and reviewed on an ongoing basis (T64 Fundraising
Database) as so many different actors are involved that there are many factors beyond one's control. This plan is of vital importance
to better manage the implementation process and ensure the risk of resource shortfalls.
1 Week
Urban finance
Participation
ACTIVITY
Review and update the results of the Financial Resources Review (Activity 3), as well as the resources defined for each project in the Development of Strategic Project Sheets (Activity 41). Carry out all necessary economic and financial assessments to build a persuasive project proposal for external investors To control dates, quantities and people, assigning to each of them their origin, the requirements needed to obtain them and follow-up mechanisms, through the T56 Resource Mobilisation Plan for Implementation. Review the resource mobilisation plan on an ongoing basis to avoid potential problems of resource shortages. Start contacting and approaching potential partners and donors through all available channels (mailing, virtual meetings, dedicated events, etc.), for which you can use the T64 Fundraising Database. Keep all the involved stakeholders informed. 1.
2.
3.
4.
5.
Description
Steps
Resource Mobilisation Plan for Implementation
Fundraising Database
List of Official Aid to Development Sources
Tools
T56
T64
T65

143. PHASE 4: IMPLEMENTATION BLOCK K: IMPLEMENTATION MECHANISMS 143
- The challenge of local government financing in developing countries
- Challenges and Opportunities for Urban Climate Finance
- What is a Bankable Project
References
Participatory Mapping, Belmopan, Belize , UN-Habitat

144. 144
Establish all the necessary actions to implement the plan's
projects. Organise an initial meeting to coordinate with the
different projects and initiatives and create synergies in the
area of work.
- Definition of the implementation team - Tasks, list of relevant projects and coordinating bodies - Kick-off meeting
Objective Results
Project Management
53
The management and coordination of the different projects are of fundamental importance for their successful implementation. Therefore, this activity focuses on ensuring that all the actions necessary for the start-up of the projects are known and have a team responsible for each of them. Some of these actions may include coordination with partners, departments, agencies, and institutions and their specific tasks. The lead for the project management process will be the local government or the competent governmental authority depending on the context. It will be in charge of convening and mobilising the actors involved in the implementation process of the plan and bringing together all the institutions that were assigned in the Development of Strategic Project Sheets (Activity 41)
as responsible entities.
The activity starts with a kick-off meeting in which all available human resources and their technical and professional capacities
are analysed. For this purpose, it is recommended to go back to the results of the Action Plan (Activity 47) and the Development of
Strategic Project Sheets (Activity 41) and review the projects as well as other relevant and necessary tasks for the start-up of the
implementation of the projects. In order to have efficient and detailed management, responsibilities are assigned in the form of tasks
or projects with their corresponding coordinating bodies. An executing team is defined, in which each member/ institution will have
clear responsibilities, functions, and coordination dynamics with the rest of the members of this and other project teams. This last
point is fundamental, as it will be important to look for mechanisms to generate synergies between teams that facilitate cross-cutting
dynamics in the form of regular meetings or other means of communication.
At the same time, the kick-off meeting is also used to plan the management of the stakeholders involved in each of the projects,
as their collaboration and cooperation are very important throughout the process, including the implementation phase. Therefore,
different strategies and documentation, such as memorandums of understanding and other instruments defined in Governance and
Management Instruments (Activity 46), are evaluated in order to establish the necessary agreements with departments, agencies
and institutions. The steering and advisory committees will also have responsibilities in the implementation process. Thus, these
responsibilities include regular consultation at a frequency to be determined, promotion and socialisation of the plan and projects, as
well as active participation in monitoring and follow-up strategies for project implementation.
The kick-off meeting and start of the process finalises with a clear definition of the people who make up the implementation team, their
responsibilities associated with the projects and tasks necessary for the implementation of the plan and the management strategy of
the actors involved in each of the projects.
1 Week
ACTIVITY
Initiate coordination kick-off meeting(s). Review available human resources and their technical and professional capacities. Review the results of the Action Plan (Activity 47) and the Development of Strategic Project Sheets (Activity 41) and list the
projects and tasks needed to implement the projects in the plan. Assign responsibilities and define the implementation team. At the same time, jointly seek mechanisms to generate synergies between teams. Planning of the coordination with stakeholders involved in each project, assessing the different strategies and documentation to be carried out for each of them, such as memorandum of understanding and agreements. End the meeting(s) with a definition of the implementing team, its responsibilities and a coordination strategy with the actors involved in each project.1.
2.
3.
4.
5.
Description
Steps

145. PHASE 4: IMPLEMENTATION BLOCK K: IMPLEMENTATION MECHANISMS 145
Define a work plan to map out the entire implementation
process with defined steps, phases and milestones for each
project. Predict likely outcomes, costs and risks, as well as
prepare contingency plans in case of implementation
problems.
- Work Plan - Timetable for implementation - Budget Plan - Contingency Plan
Objective Results
Implementation Work Plan
54
This activity focuses on achieving greater coordination and more efficient management of the different projects that make up the plan, and thus achieving a comprehensive and functional work plan. Coordination and management are essential in any phase of the planning process. However, in the implementation phase, where each project has its own time, location and responsible persons, this coordination becomes essential if an organised and successful process is to be carried out.
Once the results of the Development of Strategic Project Sheets (Activity 41) and the Action Plan (Activity 47) have been reviewed,
individual strategies are defined for each of the projects that make up the plan. These strategies will define responsibilities, resources and
time management, as well as expected results, predictable costs or expenses and likely risks for each project. The T57 Implementation
Work Plan Template tool allows you to define the individual strategies for each project and then put the strategies for all projects
together in the joint work plan.
Then, when all the individual strategies are grouped together, they are pooled and the joint strategy is developed. This activity follows
an inductive logic, as it goes from the particular, with each project, to the general, with the joint strategy. Once the project strategies
have been defined, a joint timeline can be drawn up, as well as a budget plan for implementation, and finally a contingency plan, which
detects all possible risks in implementation and finds ways to mitigate them.
Finally, after defining an integrated, joint and detailed work plan, each team will be clear about its responsibilities, its strategy, how to
manage its time and its position in relation to the rest of the team and the plan. The work plan needs to be updated while the plan
is implemented, it is necessary to define a responsible person in the team to keep all the project information updated and reviewed
on an ongoing basis as so many different actors are involved. An accountability meeting with all the stakeholders involved would be
necessary to keep all the involved institutions informed.
2 Weeks
ACTIVITY
Review the results of the Development of Strategic Project Sheets (Activity 41) and the Action Plan (Activity 47). Define individual strategies for each of the projects through the T57 Implementation Work Plan Template, defining responsibilities,
resources needed, dates and times, expected results, predictable costs or expenses and probable risks. Put all the individual strategies together, grouping and shaping the implementation work plan. Grouping time issues such as delivery dates, frequency of meetings, time limits for each of the project strategies, in order to define the joint implementation schedule. Group the expected expenditures or costs of each of the projects together to generate the joint budget plan. Group the likely risks and their mitigation pathways for each of the projects to create the common contingency plan. Upon completion, have a joint, detailed and integrated work plan for implementation. Review the work plan on an ongoing basis and keep all the involved stakeholders informed. 1.
2.
3.
4.
5.
6.
7.
8.
Description
Steps
Implementation Work Plan Template
Tools
T57

146. 146
Manage the implementation of the projects and actions
included in the plan. This activity will have an indeterminate
duration depending on the plan, project and context. It is
the achievement of all the previous phases and involves the
transformation of abstract principles into a specific impact
for the community.
- Execution of the plan and its implementation (strategic projects and initiatives) - Communication of initiatives to stakeholders and the community
Objective Results
Implementation of the
Plan’s Projects and Actions
55
This activity refers to the actual implementation of the plan, whereby everything planned and designed in the form of abstract principles
or issues is materialised and transformed into a tangible and real impact for the community.
Once the plan has been approved and after having managed, coordinated and organised all the execution in the previous activities,
the actual implementation takes place. This activity varies in duration depending on the project, plan and context with which you are
working. However, there are several important tasks that can be carried out regardless of the context and type of plan.
It is therefore recommended that a start-up record of the implementation be kept. Such a record can be graphic or audiovisual,
through photographs or videos but it should, in any case, be a documentary, keeping an organised management of all documentation
related to the implementation process.
Finally, it will be important for a closer relationship and collaboration with stakeholders and the community and the implementing team
should communicate and create participatory activities while implementing the projects and the plan. This communication may vary
according to the strategy decided in the Project Management (Activity 53), but it is recommended that there is a clear strategy on
how to communicate with the community and the general public, indicating that the plan is under the implementation phase.
Variable time
Participation
ACTIVITY
Once implementation has started after the approval of the plan, keep an organised record of all documentation related to the implementation process. Optionally, it is recommended to keep a graphic or audio-visual record of the implementation process. Communicate and inform stakeholders and the community about the implementation of different projects and the plan, as defined in the Project Management (Activity 53). Promote different events and participatory activities to assess the perception of the involved communities and stakeholders of the projects and the plan implementation (T41 Citizen Engagement Guide).1.
2.
3.
4.
Description
Steps
Citizen Engagement Guide
Tools
T41

147. Vung Tau, Vietnam, UN-Habitat

148. L

149. Develop and establish mechanisms to ensure the sustainability of the planning process and the
implementation of the plan, as well as mechanisms for monitoring, evaluation and reporting on the progress
of the plan and projects.
56.
Evaluation of the Plan’s
Projects and Actions
57.
Socialisation,
Feedback and Learning
Mechanisms
58.
Incremental
Improvements to the
Planning Process
L
BLOCK
Follow-up Strategy
Variable time
participatory
1 week
participatory
1 week
participatory
1 tool 1 tool 1 tool

150. 150
Develop mechanisms to monitor, evaluate and report on
the progress of the plan and projects, in order to create
accountability frameworks and assess impact. - Implementation monitoring matrix, through indicators - Implementation performance evaluation reports - Environmental and social impact monitoring matrix
Objective Results
Evaluation of the Plan’s
Projects and Actions
56
Monitoring and evaluation is a continuous exercise to assess the performance of the plan's objectives, strategies and projects. In this
activity, the technical team will develop a matrix to continuously monitor, evaluate and report on the plan's phases, development,
implementation and impact of projects.
First, the Monitoring and Evaluation Strategy (Activity 50) is reviewed and implemented. This will define the indicators to be measured
and to evaluate the plan progress. For each initiative, the technical team has already assigned its indicators, with their corresponding
dates, milestones and frequency of measurement and evaluation. Therefore, this activity focuses on the development of the monitoring
and evaluation reports during the implementation of the plan.
In turn, it is essential to keep a record and monitor the process in order to make evaluation reports during the implementation process.
In some cases, it may be necessary to report performance on some indicators to external funding sources or to agencies overseeing
the process. Therefore, regardless of whether this is the case, reporting is highly recommended in order to make the process more
transparent and to improve engagement strategies with stakeholders and the community.
In continuity with the Environmental and Social Impact Strategy for the City (Activity 24) or for the Neighbourhood Plan (Environmental
and Social Impact Strategy for the Neighbourhood Plan (Activity 35)) it is recommended to use the T58 Environmental and Social
Impact Monitoring Matrix. Using this matrix complements the Environmental and Social Management Plan (ESMP) which should have
been developed as part of the content of the T31 Environmental and Social Action Plan Template or the T66 Environmental and
Social Impact Assessment (ESIA).
It is recommended to use this matrix to be able to track the identified environmental and social impacts, as well as their mitigation
measures, monitoring indicators, frequency of measurement and those responsible for the process. The matrix also includes a section
to monitor compliance with legal and regulatory requirements at different scales, including the national and local scales which were
previously identified in the Legal Instruments (Activity 45).
Variable time
Participation
ACTIVITY
Review and implement the Monitoring and Evaluation Framework (Activity 49), which defines the indicators to be measured,
the calculation needed to evaluate it, and the team or institution responsible for measuring it. Follow the calendar with dates, milestones and frequency of measurement and evaluation of the indicators set out in the Monitoring and Evaluation Framework (Activity 49). Keep a record of the whole process in order to be able to make several evaluation reports during the whole implementation process. Based on the information in the Environmental and Social Management Plan of the ESAP or ESIA developed under the Environmental
and Social Impact Strategy for the City Plan (Activity 22) or for the Neighborhood Plan (Environmental and Social Impact Strategy for the Neighbourhood Plan (Activity 35)), complete the T58 Environmental and Social Impact Monitoring Matrix.1.
2.
3.
4.
Description
Steps
Environmental and Social Impact Monitoring Matrix
Tools
T58

151. PHASE 4: IMPLEMENTATION BLOCK L: FOLLOW-UP STRATEGY 151
- SDG Indicator Framework
- Voluntary National Reports (INV)
- Urban Prosperity Initiative (CPI)
- Prosperous Cities Index (Mexico)
- New Urban Agenda Monitoring Framework
- Project SDG Assessment Tool
- UN-Habitat Environmental and Social Safeguards System version 3 (ESSS 3.1)
References
Braamfontein, Johannesburg, South Africa, Rogier van den Berg

152. 152
Develop and establish mechanisms to ensure the
sustainability of the planning process, such as advocacy
measures and mechanisms for stakeholder and community
feedback.
- Communication strategy for the implementation process of the plan, which could include a public participation website, project brochures/flyers, interactive social media account, events, etc.
Objective Results
Socialisation, Feedback and
Learning Mechanisms
57
Stakeholder participation and feedback, especially from the community, are essential at any stage of the urban planning process,
including implementation.
This activity defines a strategy for collecting opinions, suggestions and complaints from citizens and stakeholders involved in the
implementation of the plan’s projects and actions. Through T59 Feedback Strategy, one-way and two-way communication channels
will be detailed for all the actors involved in the process, and the frequency of communication by the implementing team will be
specified, as well as all the characteristics (means, capacities, people in charge) that make up these actions. In this way, a greater
commitment is achieved involving all the actors, while at the same time generating a greater sense of belonging and involvement in
the process on the part of the community.
Finally, it is not only enough to listen to all the actors involved, with special attention to the opinion of the community, but it will
also be necessary to gather their opinions and make efforts to resolve their doubts, concerns and suggestions. Ensuring two-way
communication will reinforce the sustainability and acceptance of the projects, while at the same time it will serve as learning for the
executing and technical team in terms of feedback, performance of their professional activity and possible adaptations to future plans,
processes and projects.
1 Week
Participation
ACTIVITY
Define the communication strategy for the plan implementation process, using the T59 Feedback Strategy to detail the
communication channels to be used with the different stakeholders and especially with the community. Gather opinions, suggestions and concerns, and make efforts to resolve them. Discuss at the end of the process the lessons learned from this communication and how to improve future processes or projects through this feedback.1.
2.
3.
Description
Steps
Feedback Strategy
Tools
T59

153. PHASE 4: IMPLEMENTATION BLOCK L: FOLLOW-UP STRATEGY 153
Map and incorporate learnings to adjust the urban planning
process, in order to improve the approach and process for
the development of future plans. - Lessons learned and feedback from the urban planning process - Adjusted urban planning process - Capacity building activities
Objective Results
Incremental Improvements
to the Planning Process
58
The last activity of the methodology proposes a joint reflection exercise. Throughout the process, different opinions on the methodology
have emerged, so in order to adjust the urban planning process, this activity consists of a methodological evaluation.
Firstly, the use of the T60 Methodological Evaluation tool is proposed in order to review the lessons learned in each block or activity, and
to propose improvements or specific suggestions for each context. In this way, urban planning processes are adjusted and adapted for
future uses of the methodology according to the conditions of each context. This evaluation will allow not only to detect adaptations,
but also to include steps and processes that are not included in this methodology. It will also strengthen public administrations through
prior knowledge of the capacities that need to be further developed on a case-by-case basis.
Finally, with the aim of promoting collective knowledge as a driver of cooperation and development, it is requested that this
methodological evaluation exercise be sent to UN-Habitat, to the Our City Plans team, in order to reinforce the learning from the
different experiences and to achieve a more complete and adjusted methodology in the following editions.
1 Week
Participation
ACTIVITY
Reflect on the methodological process as a whole, focusing on additional activities and suggestions for improvement. Use the tool T60 Methodological Evaluation.
Identify adaptations, additional steps and procedures and capacities to be reinforced according to the context. Send the methodological evaluation to the UN-Habitat Our City Plans team in order to reinforce the learning from the different experiences and, through collective knowledge, achieve a more complete and adjusted methodology in future editions. 1.
2.
3.
Description
Steps
Methodological Evaluation
Tools
T60

154. TOOLS

155. TOOLS05
Remember that all the Tools are
available in a digital format in
each activity description.
T1 List of minimum required expertise and
partners

T2 Urban Legislation Assessment
T3 Matrix of References
T4 Financial Assessment Guide
T5 Project Budget Template
T6 Self-Assessment Guide
T7 Workshop Checklist
T8 Work Plan Template
T9 Guiding Document Template
T10 Environmental and Social Screening
Report Template
T11 Environmental and Social Development
Impact Plan (DIP) Template
T12 Stakeholders’ Mapping
T13 Participation Plan Guide
T14 Desk and Field Research - Data Checklist
T15 Matrix of Functions (MoF)
T16 Participatory Incremental Mapping (PIM)
T17 Impact Chain Diagram
T19 Urban Expansion Projections
T20 Vulnerability Assessment
T21 S.W.O.T. Analysis
T22 Scenario Building Narratives
T23 Constraints, Challenges and Opportunity,
and Suitability Maps
T24 Strategic Visioning Workshop Guide
T25 Scenario Building Narratives
T26 Thematic Issues Checklist
T27 Spatialisation of the Strategic Vision
Workshop
T28 Urban Development Structure Guide
T29 Development Zones Guide
T30 Environmental and Social Scoping Report
Template
T31 Environmental and Social Plan Template
T32 Strategic Projects Workshop
T33 Project Prioritisation Template
T34 Adaptation Options Identification
T35 Preliminary Financial Plan Template
T36 Compatibility of Functions Guide
T37 Land Use Indicators
T38 Detailed Data Gathering and Analysis
T39 Neighbourhood Planning Workshop Guide
T40 Preliminary Estimation of Costs Template
T41 Citizen Engagement Guide
T42 Strategy Framework Guide
T43 Facilities and Public space Projections
T44 Pre-feasibility study template
T45 Participatory Prioritisation Guide
T46 Project Prioritisation Template
T47 Template of Strategic Project Sheets
T48 Land Tenure Typologies Guide
T49 Land Management Instruments Guide
T50 Financial Instruments Guide
T51 Regulatory Instruments Guide
T52 Governance Instruments Guide
T53 Action plan matrix
T54 Monitoring and evaluation framework
T55 Indicator Summary Matrix
T56 Resource Mobilisation Plan for
implementation
T57 Implementation Work Plan
T58 Environmental and Social impact Control
Matrix
T59 Feedback Strategy
T60 Methodological Evaluation
T61 Risk response options
T62 Resilience Initiatives for the City
T63 Land Strategies Guide
T64 Fundraising Database
T65 List of Official Aid to Development Sources
T66 Environmental and Social Impact
Assessment (ESIA) Template
T68 Urban Development Directives Guide

156. T1 List of Minimum Required Expertise and Partners
Description This tool helps define the technical project team members. For the project to be successful,
the team needs to fulfil at least the minimum required roles. If there are available resources, it is
recommended to include additional expertise and roles.
Participants This task is carried out by the person responsible for building the technical planning team
(planning director, project lead, human resources staff, etc.).
Instructions
Using the list below, write down the name of the person who will fulfil each role. Remember that one person
can adopt various positions or you may need more people responsible for the same tasks, depending on the
complexity of the project and available resources. Define if the staff will be internal to the
organisation/institution or if any new hires or partners are needed.
Minimum required expertise. Members who fulfil these roles make up the technical planning team.
Project lead ……………………………..…………………..………………………..……………………... (Name/ contact)
Will lead the overall planning process and provide guidance to the team members. The lead
is aware of the activities
and deliverables in progress and will drive communications with higher-level authorities and/or external organisations.
Project management ….………………..…………………..…………………………..…………………... (Name/ contact)
Will drive and monitor the management process and make sure the team achieves the objectives and deliverables on
time. Is responsible for the budget, achieving deadlines, and involving all the identified stakeholders.
Urban planning ….………………..…...……………..…………………………..…………………………... (Name/ contact)
Will guide the technical development of the project. Will prepare plans and studies, create and interpret maps and
diagrams, develop policy guidelines and recommendations, conduct participatory activities with the stakeholders and
community, and process the data gathered to inform the planning project.
Urban design and architecture ….………………...……..………………………..…………...………… (Name/ contact)
Will conduct the physical design of the project. Will develop the design concepts, and the site, architecture and
construction plans. This person has expertise on architecture and design software (Autocad, Revit, Adobe, etc.).
Spatial analysis ….………………..…………………..………………………..……………..……….…….. (Name/ contact)
Will conduct the spatial analysis of the project. Will identify and process geospatial datasets, elaborate maps using
Geographic Information Systems (GIS) software, and translate the analysis into findings and reports.
Ideal additional expertise. These members will provide additional expertise and can serve as external
on-demand support.
Urban economy ….………………..…………………..………………………..………………………..…... (Name/ contact)

157. T1 List of Minimum Required Expertise and Partners
Will perform urban economic analysis, economic modelling, and demographic analysis. Will develop strategies on
issues such as local economic development, spatial agglomeration, demographic and economic trends, integrated
land use, urban infrastructure and transportation, housing, and local government finance.
Urban legislation ….………………..…………………..…………...……………..…………………..….…. (Name/ contact)
Will guide the compliance of planning policies, regulations, and guidelines established in the urban area of study and
facilitate the legal aspect of the planning process.
Participatory processes expert ….………………..………………………………………...…......….... (Name/ contact)
Will provide expertise on designing and implementing participatory processes, strategies and activities, incorporating
and engaging different stakeholders.
Communications expert ….………………..………………………………………………...…......….... (Name/ contact)
Will provide expertise on designing and implementing the communication strategy, creating engaging content to
connect with diverse stakeholders, and promoting the urban planning process through different media.
Risk reduction and climate planning ….………………..…………………………………...…......….... (Name/ contact)
Will provide expertise on urban resilience, risk reduction actions, and climate adaptation and mitigation strategies.
Housing ….………………..…………………………...……..…………………………..…………..….... .....(Name/ contact)
Will provide expertise on housing and inclusive community development at different urban scales.
Transport and mobility ….……………………..…………..…………………………..………………….... (Name/ contact)
Will provide expertise on transportation systems and sustainable urban mobility strategies.
Social inclusion …….... ….……………………..…………..…………………………..………………….... (Name/ contact)
Will provide expertise on inclusive policies, engagement of vulnerable groups, social housing, inclusive slum
regeneration strategies and fair land management regulations.
Other expertise
…..………………….………………………….... (Expertise)
…..………………….………………………….... (Expertise)
…..………………….………………………….... (Expertise)
…..…………………....…………………..... (Name/ contact)
…..………………….……………………....
(Name/ contact)
…..………………….…………………….... (Name/ contact)
List of technical team members
Internal members New hires or contractors / Partners / External support

158. T1 List of Minimum Required Expertise and Partners
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…

159. T1 List of Minimum Required Expertise and Partners
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
………………..……………..……………………..……….…
T2 Urban Legislation Assessment
Description This tool helps understand the legal planning framework and background, and identify the legal
requirements for the plan approval. For a full legislation assessment, use the Planning Law Assessment
Framework developed by UN-Habitat.
Participants This task is carried out by the preliminary technical team.
Instructions
1. Gather and review the existing planning documents at the national, regional and metropolitan scale.
Planning documents can be laws, ordinances, policies, plans, spatial visions, strategies, tools, institutional and
participatory mechanisms and regulatory procedures, articulated into different scales or topics. However, what they
look like varies according to the planning scale with their different functions and competences .
Planning instruments identification (national, regional and metropolitan scale)
● What are the existing planning documents at different planning scales? What is the objective of each one?
These are some examples:
⬚ Building codes
⬚ Taxation laws
⬚ Building permits
⬚ Land subdivision code
⬚ Zoning code
⬚ Heritage policy
⬚ Housing policies
⬚ Disaster risk management plans
⬚ Climate action plans
⬚ Climate adaptation plans
● What institution is in charge of approving, implementing, updating, and regulating each planning document?
● Are there existing national/regional/metropolitan urban development plans? Are they legally binding? What do
they recommend for the local context?
2. Discuss the following questions to understand the urban legislation at the local scale.
Local legislation assessment
● What are the local administrative boundaries? Use a map to analyse and understand the political and territorial
boundaries.
● Does the city possess a cadastre? (The land parcel of the cadastre is the basic spatial unit used for land registration. Cadastral systems have traditionally supplied spatial information for land administration, spatial planning, billing for cost recovery from services, etc.)
● Are there ongoing processes of city and/or municipal urban development plans? Provide general information of
this process and why it is not finalised and the status of the plans.
….………………..…………………………...……..…………………………..……………………….... ....... ………………….

160. T2 Urban Legislation Assessment
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
● Are there existing city and/or municipal urban development plans (strategic plan/structure plan/masterplan)?
These can include technical content such as land and urban planning, affordable housing policies, possibility
for land-use changes, public space requirements, plots and blocks consolidation and readjustment,
development rights, building codes, land-based finance, etc. Complete the following information
Date of promulgation: ……...……...……...……...……...…
Does it include an urban perimeter? ……...……...………..
Timelapse of planning/legal time for review: ……………....
Is the built-up area exceeding the urban perimeter? ……..
Is the urban perimeter still large enough to contain the urbanisation? ……...……...……...……...……...……...……...…..
List of the current land use categories:
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
What are the gaps and discrepancies of the plan? What is missing compared to the current issues the city is facing?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
3. Discuss and answer the following regulatory framework checklist.
Legal requirements for plan approval

161. T2 Urban Legislation Assessment
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
● Are there existing city and/or municipal urban development plans (strategic plan/structure plan/masterplan)?
These can include technical content such as land and urban planning, affordable housing policies, possibility
for land-use changes, public space requirements, plots and blocks consolidation and readjustment,
development rights, building codes, land-based finance, etc. Complete the following information
Date of promulgation: ……...……...……...……...……...…
Does it include an urban perimeter? ……...……...………..
Timelapse of planning/legal time for review: ……………....
Is the built-up area exceeding the urban perimeter? ……..
Is the urban perimeter still large enough to contain the urbanisation? ……...……...……...……...……...……...……...…..
List of the current land use categories:
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
What are the gaps and discrepancies of the plan? What is missing compared to the current issues the city is facing?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
3. Discuss and answer the following regulatory framework checklist.
Legal requirements for plan approval
T2 Urban Legislation Assessment
● Which institutional body/ies is/are responsible for approving and/or developing local plans?
● What are the requirements for the planning document approval? Keep in mind:
○ National and regional policies alignment (coherence between plans)
○ National,regional and local institutions that need to be involved in the process
○ Mandatory participation processes
○ Required impact assessments (social, environmental, economical, etc.)
○ What are the steps to achieve the planning document approval?
○ What are the minimum components required in a plan?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….

162. T3 Matrix of References
Description This matrix is a guide to gather existing data to generate the major agreements and
conventions regarding sustainable urban development and urban planning, to support the analysis of the city
and the plan development.
Participants This activity is carried out by the technical team, the advisory committee and the steering
committee.
Instructions
International agendas and frameworks:
International agenda, agreements and frameworks are documents globally endorsed by member states and it can
guide the achievement of sustainable development. However, what they look like varies according to the planning scale
with their different functions and competences.
1. Review the International Agendas and frameworks endorsed at the country level
International Agendas identification
Which International Agendas are you familiar with?
⬚ Paris Agreement
⬚ 2030 Agenda for Sustainable Development (SDGs)
⬚ Addis Ababa Action Agenda
⬚ Sendai Framework
⬚ SAMOA Pathway
⬚ New Urban Agenda
⬚ Other agendas: ……………………………………………….

⬚ Other agendas: ……………………………………………….
What are the locality responsibilities?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
Planning document recognized by the law at the local scale (if it applies):
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…...……………………...……..…………………………..……………………….... ....... ……………..……
Which institutional body/ies is/are responsible/s for approving local plans?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
T3 Matrix of References
2. Review the National agenda and frameworks for sustainable development
National Agendas Identification
United Nations Development Assistance Framework (UNDAF/ UNPAF) What are the UNDAF/ UNPAF pillars?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
Habitat Country Programme Document (UN-Habitat) What are the HCPD pillars or UN-Habitat Country Office priorities?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
SDGs prioritised at the National Level What are the Measurable SDGs prioritised in the country and reported by the Voluntary National Reviews (VNR)?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ………………….

163. T3 Matrix of References
Description This matrix is a guide to gather existing data to generate the major agreements and
conventions regarding sustainable urban development and urban planning, to support the analysis of the city
and the plan development.
Participants This activity is carried out by the technical team, the advisory committee and the steering
committee.
Instructions
International agendas and frameworks:
International agenda, agreements and frameworks are documents globally endorsed by member states and it can
guide the achievement of sustainable development. However, what they look like varies according to the planning scale
with their different functions and competences.
1. Review the International Agendas and frameworks endorsed at the country level
International Agendas identification
Which International Agendas are you familiar with?
⬚ Paris Agreement
⬚ 2030 Agenda for Sustainable Development (SDGs)
⬚ Addis Ababa Action Agenda
⬚ Sendai Framework
⬚ SAMOA Pathway
⬚ New Urban Agenda
⬚ Other agendas: ……………………………………………….
⬚ Other agendas: ……………………………………………….
What are the locality responsibilities?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
Planning document recognized by the law at the local scale (if it applies):
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…...……………………...……..…………………………..……………………….... ....... ……………..……
Which institutional body/ies is/are responsible/s for approving local plans?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
T3 Matrix of References
2. Review the National agenda and frameworks for sustainable development
National Agendas Identification
United Nations Development Assistance Framework (UNDAF/ UNPAF)
What are the UNDAF/ UNPAF pillars?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
Habitat Country Programme Document (UN-Habitat)
What are the HCPD pillars or UN-Habitat Country Office priorities?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
SDGs prioritised at the National Level
What are the Measurable SDGs prioritised in the country and reported by the Voluntary National Reviews (VNR)?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ………………….

164. T3 Matrix of References
Are there other regional or national development frameworks in use? (e.g. City Prosperity Index) What are the main
pillars and priorities?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...

165. T3 Matrix of References
Are there other regional or national development frameworks in use? (e.g. City Prosperity Index) What are the main
pillars and priorities?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
T4 City's Financial Assessment Guide The serves as a comprehensive financial management tool designed to evaluate the fiscal health and sustainability of the municipality. It can be adapted to each particular local context
and aims to provide an in-depth analysis of revenue streams, expenditures, cash flow, debts, and investments. The tool assists in making informed decisions for budget allocation, lo
ng-term planning, and policy
formulation.
Its purpose is to allow municipal authorities to have a preliminary picture of the state of their municipality's finances so they can start thinking about the actions to be taken in order to guarantee the financial
sustainability of their future projects.
This assessment enables the city to make data-driven decisions for its annual budget; ensures transparent fin
ancial governance by detailing revenue and expenditure sources; identifies financial vulnerabilities, such
as arrears or unsustainable debts, and assists in aligning financial resources with strategic priorities, such as healthcare, education, and infrastructure.
The tool is designed to capture historical and current data, offering a longitudinal view of the city's finances. It includes clarifying graph
s that are critical for evaluating financial health. The assessment can serve as a
basis for internal reports, stakeholder communications, and grant applications. Regular updating is necessary for accurate tracking and for adapting to changing financial environments.
City's Financial Assessment
Municipal Budget Table
Cash Balance & Arrears Table REVENUES
EXPENDITURES
I CASH BALANCE
Shared taxes (City share):
%
Uncon
ditional transfers:
Operating transfer: Investment grant: Conditional transfers (pass-through):
Local taxes and levies: Local fees: Local asset proceeds:
Dividends, funds, assets from PUCs (Public Utility Companies):
Expenses on Delegated Functions: Own Expenditures:
Cash receipts:
Cash payments: Cumulative inflow: Cumulative outflow: Net change in the stock of cash:
The percentage of various state-level taxes allocated to the municipality. E.g., VAT, personal income tax, cor
porate income tax, etc.
indicates the percentage of that tax type allocated to the municipality from the state government.
Funds from the state government that are not earmarked for specific uses.
For day-to-day expenditures like wages.
For capital expenditures like infrastructure development.
Funds for specific purposes like wages or social policy programs.
Taxes collected solely by the municipality like property tax and business taxes.
Revenue from issuing permits, licenses, or other administrati
ve services.
Revenue generated from municipal assets like rent from municipal properties, sales, etc.
Any financial contributions transferred from the public utilities to the municipal budget.
Expenditures on functions that the municipality is required to provide.
Costs for services that the municipality chooses to provide.
Money recei ved during the month.
Money paid out during the month.
Total money received up to that month in the year.
Total money paid out up to that month in
the year.
The net flow of cash for the municipality. T (nYironPentaO anG 6ociaO 6creeninJ ReSort TePSOate
,Xuivalent to <5/aIitat?s ,:: Category ,.
City/
Neighbourhood
Plan
X
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X
Potential risks
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a humanitarian action.
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,Xuivalent to <5/aIitat?s ,:: Category ,.
Project
(Physical
intervention)
X
5V YisRs VY lV^ YisR
? AWWlies MVY! projects with limited
physical interventions or total
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^HZZJVYLK^P[O
? Acti]ities tV cVnsiKeY in tOe
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and ).
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? AWWlies MVY!
? Acti]ities tV cVnsiKeY in tOe
workplan and budget !:JVWPUN
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and )..
X
Potential risks
? AWWlies MVY! Regardless of the score, the project is designed to
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action.
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,Xuivalent to <5/aIitat?s ,:: Category ,.

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,X\P]HSLU[[V<5/HIP[H[?Z,::*H[LNVY`,
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
?(WWSPLZMVY! ;V[HSZJVYLPZSV^LY
[OHU:HUKUVP[LT^HZZJVYLK
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X0HGLXPRUKLJKULVN
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HUKHU`P[LT^HZZJVYLK^P[O
?(J[P]P[PLZ[VJVUZPKLYPU[OL
^VYRWSHUHUKI\KNL[ !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
(J[PVU7SHU,:(7 ,X\P]HSLU[[V<5/HIP[H[?Z,::*H[LNVY`*
X
7V[LU[PHSYPZRZ
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HO\THUP[HYPHUHJ[PVU
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HSSV^ZWYLWHYLH+L]LSVWTLU[0TWHJ[7SHU+07,HJO[PTL[OL
ZP[\H[PVUJOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
,X\P]HSLU[[V<5/HIP[H[?Z,::*H[LNVY`,
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
?(WWSPLZMVY! WYVQLJ[Z^P[OSPTP[LK
WO`ZPJHSPU[LY]LU[PVUZVY[V[HS
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?(J[P]P[PLZ[VJVUZPKLYPU[OL
^VYRWSHUHUKI\KNL[! :JVWPUN
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HUK)
X0HGLXPRUKLJKULVN
?(WWSPLZMVY!
?(J[P]P[PLZ[VJVUZPKLYPU[OL
^VYRWSHUHUKI\KNL[ !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
0TWHJ[(ZZLZZTLU[9LWVY[,:0( ,X\P]HSLU[[V<5/HIP[H[?Z,::*H[LNVY`()
HUK)
X
7V[LU[PHSYPZRZ
?(WWSPLZMVY! 9LNHYKSLZZVM[OLZJVYL[OLWYVQLJ[ PZKLZPNULK[V
YLZWVUK[VHULTLYNLUJ`JYPZPZVYPZWHY[VMHO\THUP[HYPHU
HJ[PVU
?(J[P]P[PLZ[VJVUZPKLYPU[OL^VYRWSHUHUKI\KNL[ !
,U]PYVUTLU[HSHUK:VJPHS(J[PVU7SHU,HJO[PTL[OLZP[\H[PVU
JOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
,X\P]HSLU[[V<5/HIP[H[?Z,::*H[LNVY`, T4 City's Financial Assessment Guide II ARREARS
I MEDIUM & LONG TERM DEBT
II SHORT TERM DEBT
Revenue vs. Expenditure Over Time
Theoretical vs. Actual Collection Over Time
Public stakeholders:
City dues to private contractors:
Labor arrears (wages, salaries):
On-lending loan:
Direct Loan:
Municipal Bond:
Treasury facility:
Delegated investments:
Municipal investment:
Investment into PUC:
Earmarked grants:
Own budgetary revenue:
Loans or municipal bond:
Equity from PUC:
Number of taxpayers:
Theoretical collecti
on:
Base: Exemption: Rate: Tax collected:
Interpretation:
Significance:
Interpretation
Facility from Commercial Bank:
Unpaid dues to public organizations.
Unpaid dues to private service providers.
Unpaid labor costs.
Loans given to the municipality by the central government.
Loans obtained directly from a financial institution.
Bonds issued by the municipality to raise funds.
A short-term loan from the central government.
Investments in sectors managed by other governmental layers or agencies.
Investments directly managed by the municipal government.
Investment into Public Utility Companies.
Grant
s meant for specific projects or sectors.
Revenue generated by the municipality itself.
Funds obtained via loans or bonds.
Financial contributions from Public Utility Companies.
The total number of individuals and businesses that are taxpayers.
The estimated amount expected to be collected based on the base and tax rates.
The tax base, for example, the property value for property tax.
Cases where tax is not applicable.
The rate of tax applied to the base.
The actual amount of tax collected.
This graph s
howcases whether the municipality is running at a surplus (revenues exceed expenditures) or a deficit (expenditures exceed revenues) in any given year.
A consistent deficit could signal the need for increased revenue mobilization, expenditure cuts, or both. A surplus might indicate room for more investments or savings for future large-scale projects.
A short-term loan from a commercial bank.
Indebtedness Table
Capital Investment Table
Tax Potential & Performance Table
Graphical Representations
: Compares the potential tax revenue (based on the tax base and rates) to the actual revenue collected.

167. 7(QYLURQPHQWDODQG6RFLDO6FUHHQLQJ5HSRUW7HPSODWH
,X\P]HSLU[[V<5/HIP[H[?Z,::*H[LNVY`,
City/
Neighbourhood
Plan
X
5V YPZRZ VY SV^ YPZR
? (WWSPLZ MVY! ;V[HS ZJVYL PZ SV^LY
[OHU : HUK UV P[LT ^HZ ZJVYLK
^P[O
? (J[P]P[PLZ [V JVUZPKLY PU [OL
^VYRWSHU HUK I\KNL[ !
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,X\P]HSLU[[V<5/HIP[H[?Z,::*H[LNVY`+
X 0HGLXP RU KLJK ULVN
? (WWSPLZ MVY! ;V[HS ZJVYL PZ HIV]L :
HUK HU` P[LT ^HZ ZJVYLK ^P[O
? (J[P]P[PLZ [V JVUZPKLY PU [OL
^VYRWSHU HUK I\KNL[ ! :JVWPUN
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X
7V[LU[PHS YPZRZ
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H O\THUP[HYPHU HJ[PVU
? (J[P]P[PLZ [V JVUZPKLY PU [OL ^VYRWSHU HUK I\KNL[ ! 0M [PTL
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,X\P]HSLU[[V<5/HIP[H[?Z,::*H[LNVY`,
Project
(Physical
intervention)
X
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? (WWSPLZ MVY! WYVQLJ[Z ^P[O SPTP[LK
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^HZ ZJVYLK ^P[O
? (J[P]P[PLZ [V JVUZPKLY PU [OL
^VYRWSHU HUK I\KNL[! :JVWPUN
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:VJPHS (J[PVU 7SHU ,:(7
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HUK)
X 0HGLXP RU KLJK ULVN
? (WWSPLZ MVY!
? (J[P]P[PLZ [V JVUZPKLY PU [OL
^VYRWSHU HUK I\KNL[ ! :JVWPUN
9LWVY[ HUK ,U]PYVUTLU[HS HUK :VJPHS
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HUK)
X
7V[LU[PHS YPZRZ
? (WWSPLZ MVY! 9LNHYKSLZZ VM [OL ZJVYL [OL WYVQLJ[ PZ KLZPNULK [V
YLZWVUK [V HU LTLYNLUJ`JYPZPZ VY PZ WHY[ VM H O\THUP[HYPHU
HJ[PVU
? (J[P]P[PLZ [V JVUZPKLY PU [OL ^VYRWSHU HUK I\KNL[ !
,U]PYVUTLU[HS HUK :VJPHS (J[PVU 7SHU ,HJO [PTL [OL ZP[\H[PVU
JOHUNLZ YL[HRL [OL :JYLLUPUN 9LWVY[
,X\P]HSLU[[V<5/HIP[H[?Z,::*H[LNVY`, T4 City's Financial Assessment Guide Significance:
Interpretation
Significance
Interpretation
Significance
Interpretation
Significance
A large gap between theoretical and actual collections can signal inefficiencies in the tax collection process or issues with tax compliance.
Capital Investment vs. Financing Over Time
Delegated vs. Own Expenditures Over Time
State vs. Local Revenue Over Time
:
:
:
:
:
:
Delineates how capital investments have been financed over time, breaking down between loans, grants, and other sources.
A balanced mix of
financing sources is ideal. Over-reliance on loans, for instance, may increase long-term financial risk.
Represents the proportion of money spent on responsibilities handed down by higher government levels (delegated) versus local, autonomous responsibilities (own).
A large proportion of delegated expenditures can signal limited financial autonomy.
Illustrates the ratio between revenues provided by the state government and locally generated revenues over time.
A higher dependency on state revenues may i
ndicate limited local revenue mobilization capabilities, and could make the municipality vulnerable to changes in state policy.

168. City/Municipality
Project
Year
Instructions

ObjectiveOutputBudget categoriesCost# of unitsTotal budgetImplementing partnerFunding sources
Objective 1.
Output 1.
Staff and other personnel costs & consultantsSubtotal 1.
$90,000.00
Supplies, commodities, materialsSubtotal 2.
Equipment, vehicles and furnitureSubtotal 3.
TravelSubtotal 4.
General operating and other direct costsSubtotal 5.
External services
Subtotal 6.
Units
(day/month/y
Total budget (per
b
T5 Project Budget Template
1. Review the Budget categories (next sheet)
2. According to the objectives and outputs, assign budget categories and costs to formulate the total budget. Adjust the template according to the context of the project and structure of the objectives and outputs.
Urban plannerMonth30$90,000.00
Workshop/Training
Official supplies
IT Equipment...
...
Travel (local)
Travel (international)
Telecommunicati
on
... ...
$3,000.00
...$0.00
...$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00 T10 Environmental and Social Screening 5eport Template
,u\m]epLr[ [V <5/eIm[e[?Z ,:: *e[LNVY` ,
City/
Neighbourhood
Plan
X
5s YPZoZ sY ps^ YPZo
? (ttpPiZ jsY! ;otal score is lower
than and no item was scored
with .
? Activities to consider in the
^sYotper erK IyKNi[ !
+evelopment 0mpact 7lan (+07).
,u\m]epLr[ [V <5/eIm[e[?Z ,:: *e[LNVY` +5
X 0aGeXi Rn decd neog
? (ttpPiZ jsY! ;otal score is above
and an` item was scored with .
? Activities to consider in the
^sYotper erK IyKNi[ ! :coping
Report and ,nvironmental and :ocial
Action 7lan (,:A7). ,u\m]epLr[ [V <5/eIm[e[?Z ,:: *e[LNVY` *
X
7s[ir[Pep YPZoZ
? (ttpPiZ jsY! Regardless of the score, the neighbourhoodcit`
planworRs an urban area under an emergenc` crisis or is part of
a humanitarian action.
? (J[P]P[PiZ [s JsrZPKiY Pr [li ^sYotper erK IyKNi[ ! Mj xmqi
allows, prepare a +evelopment 0mpact 7lan (+07). ,ach time the
situation changes, retaRe the :creening Report.
,u\m]epLr[ [V <5/eIm[e[?Z ,:: *e[LNVY` ,
Project
(Physical
interventionF
X
5s YPZoZ sY ps^ YPZo
? (ttpPiZ jsY! projects with limited
ph`sical interventions or total
score is lower than and no item
was scored with .
? Activities to consider in the
^sYotper erK IyKNi[! Wgstmrk
Report and ,nvironmental and
:ocial Action 7lan (,:A7).
,u\m]epLr[ [V <5/eIm[e[?Z ,:: *e[LNVY` *
erh F62
X 0aGeXi Rn decd neog
? (ttpPiZ jsY!
? Activities to consider in the
^sYotper erK IyKNi[ ! :coping
Report and ,nvironmental and :ocial
0mpact Assessment Report (,:0A). ,u\m]epLr[ [V <5/eIm[e[?Z ,:: *e[LNVY` ( )5
erh F622
X
7s[ir[Pep YPZoZ
? (ttpPiZ jsY! Regardless of the score, the project is designed to
respond to an emergenc`crisis or is part of a humanitarian
action.
? (J[P]P[PiZ [s JsrZPKiY Pr [li ^sYotper erK IyKNi[ !
,nvironmental and :ocial Action 7lan. ,ach time the situation
changes, retaRe the :creening Report.
,u\m]epLr[ [V <5/eIm[e[?Z ,:: *e[LNVY` ,
City/Municipality
Project
Year
Instructions

T5 Project Budget Template
1. Review the Budget categories (next sheet)
2. According to the objectives and outputs, assign budget categories and costs to formulate the total budget. Adjust the template according to the context of the project and structure of the objectives and outputs.
Output 2.
Output 3.

169. City/Municipality
Project
Year
Instructions

T5 Project Budget Template
1. Review the Budget categories (next sheet)
2. According to the objectives and outputs, assign budget categories and costs to formulate the total budget. Adjust the template according to the context of the project and structure of the objectives and outputs.
Output 2.
Output 3. 7 (nYironPental anG 6ocial 6creeninJ 5eport 7ePplate
,u\m]epLr[ [V <5/eIm[e[?Z ,:: *e[LNVY` ,
City/
Neighbourhood
Plan
X
5o risRs or low risR
? Applies for! ;otal score is lower
than and no item was scored
with .
? Activities to consider in the
worRplan and budget !
+evelopment 0mpact 7lan (+07).
,u\m]epLr[ [V <5/eIm[e[?Z ,:: *e[LNVY` +5
X 0aGeXi Rn decd neog
? Applies for! ;otal score is above
and an` item was scored with .
? Activities to consider in the
worRplan and budget ! :coping
Report and ,nvironmental and :ocial
Action 7lan (,:A7). ,u\m]epLr[ [V <5/eIm[e[?Z ,:: *e[LNVY` *
X
7otential risRs
? Applies for! Regardless of the score, the neighbourhoodcit`
planworRs an urban area under an emergenc` crisis or is part of
a humanitarian action.
? Activities to consider in the worRplan and budget ! 0f time
allows, prepare a +evelopment 0mpact 7lan (+07). ,ach time the
situation changes, retaRe the :creening Report.
,u\m]epLr[ [V <5/eIm[e[?Z ,:: *e[LNVY` ,
Project
(Physical
intervention)
X
5o risRs or low risR
? Applies for! projects with limited
ph`sical interventions or total
score is lower than and no item
was scored with .
? Activities to consider in the
worRplan and budget! :coping
Report and ,nvironmental and
:ocial Action 7lan (,:A7).
,u\m]epLr[ [V <5/eIm[e[?Z ,:: *e[LNVY` *
and B2.
X 0aGeXi Rn decd neog
? Applies for!
? Activities to consider in the
worRplan and budget ! :coping
Report and ,nvironmental and :ocial
0mpact Assessment Report (,:0A). ,u\m]epLr[ [V <5/eIm[e[?Z ,:: *e[LNVY` ( )5
and B2..
X
7otential risRs
? Applies for! Regardless of the score, the project is designed to
respond to an emergenc`crisis or is part of a humanitarian
action.
? Activities to consider in the worRplan and budget !
,nvironmental and :ocial Action 7lan. ,ach time the situation
changes, retaRe the :creening Report.
,u\m]epLr[ [V <5/eIm[e[?Z ,:: *e[LNVY` ,

170. T6 Self-Assessment Guide
Description This tool aims to support the definition of activities to be carried out in the urban planning
process. Different aspects should be considered to ensure a sustainable process, aligned with the
objectives, the internal capacities, and resources of the municipality in terms of time, budget, territorial
ownership, availability of expertise, etc.
Participants This task is carried out by the person responsible for building the technical planning team, the
preliminary technical team, representatives of the local government, potential key stakeholders, and
partners.
Section 1. Context of the urban planning process
It is important to start by having a clear project objective, as planning processes can have different goals:
develop a statutory plan, focus on a detailed plan, or implement an existing plan. The following questionnaire
will help the technical team define the project objectives, considering the intention of the local government and
the work that has been already developed. Once the questionnaire is completed, it will be possible to define
which blocks of this toolbox should be fulfilled.
Instructions
1. Discuss and answer the following questions with the technical team.
How big is your city?
Total Population (number) .…………………………..
Urban Population (number) .…………………………..
Extension (square kilometre) .…………………………..
Strategic role at the regional/national scale
(low, medium, high) .…………………………..
Is there an urban planning department in your local government? (yes, no)
Describe the structure/ organogram of the institution responsible to planning process:
….………………..…………………………...……..…………………………..…………………………………………………
….………………..…………………………...……..…………………………..…………………………………………………
….………………..…………………………...……..…………………………..…………………………………………………
What is the main objective of the planning process?
⬚ Develop a new plan: ⬚ strategic spatial plan ⬚ statutory or land-use plan ⬚ neighbourhood plan
⬚ Assess, update and/or review an existing plan
⬚ Elaborate a specific component of the urban planning process: …………………..…………………
⬚ Operationalise the projects of an existing plan
⬚ Implement an existing plan
⬚ Align a plan with international urban planning framework
⬚ Integrate a cross-cutting topic to a plan
⬚ Stakeholder participation ⬚ Climate action ⬚ Spatial inclusion

171. T6 Self-Assessment Guide
⬚ Alignment to international agendas ⬚ Urban finance
Others ..…………………..…………………..…………………..…………………..…………………
⬚ Other ..…………………………..……………………….………..………………….…….………..…..….
Elaborate on the objective of the urban planning process. What is needed? Why is it important?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..….. .
What are the main challenges regarding the context in which the planning process will take place (in terms of
spatial and planning components, governance, finance, social inclusion, climate change, participation, etc.)?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..….. .
In an ideal scenario, when should the urban planning process be completed? .…………………...… (month/year)
In an ideal scenario, when should the planning process start? .…………………...… (month/year)
How much time is there available to finish the urban planning process? .…………………...… (months)
Section 2. Questionnaire
Instructions
1. In a collaborative session, assess the tables below, marking the activities that are more suitable for the
planning process, depending on the local context and the table filled above. You can use the image at
the end of the tool to select the activities from the Toolbox.
Tip: A complete review of the selected activities should be made to verify that the results lead to the desired process.
You can review and include other activities that may need to be included or which have
already been developed and
remove them. Feel free to add or delete activities to consolidate the customised planning process.
A. Identify activities of Phase I: Assessment
The table below specific components of Phase I is presented: Use the reference table to assess which
components need to be developed and select the corresponding activities to be included in your planning
process. In some cases, some components have already been developed by the planning team or
municipality, so it may not be necessary to develop all the activities in this phase.

172. T6 Self-Assessment Guide
B. Identify activities according to the type of plan to be developed (Phase 2: Plan)
The table below specifies components of Phase II is presented: Our City Plans includes the possibility of
developing three types of plans: Strategic Development Plan, Land Management Plan and Neighbourhood
Plan. According to the city's objective, use the following table to define the type of plan to be developed, as
well as its specific components, and select the activities to be developed in the planning process for Phase 2.
C. Identify activities according to the type of plan to be developed (Phase 3: Operationalisation)
The table below specifies components of Phase III is presented: Use the reference table to assess which
components need to be developed and select the corresponding activities to be included in your planning
process. In some cases, some components have already been developed by the planning team or
municipality, so it may not be necessary to develop all the activities in this phase.

173. T6 Self-Assessment Guide
B. Identify activities according to the type of plan to be developed (Phase 2: Plan)
The table below specifies components of Phase II is presented: Our City Plans includes the possibility of
developing three types of plans: Strategic Development Plan, Land Management Plan and Neighbourhood
Plan. According to the city's objective, use the following table to define the type of plan to be developed, as
well as its specific components, and select the activities to be developed in the planning process for Phase 2.
C. Identify activities according to the type of plan to be developed (Phase 3: Operationalisation)
The table below specifies components of Phase III is presented: Use the reference table to assess which
components need to be developed and select the corresponding activities to be included in your planning
process. In some cases, some components have already been developed by the planning team or
municipality, so it may not be necessary to develop all the activities in this phase.
T6 Self-Assessment Guide
D. Identify activities according to the type of plan to be developed (Phase 4: Implementation)
The table below specifies components of Phase IV is presented: Use the reference table to assess which
components need to be developed and select the corresponding activities to be included in your planning
process. In some cases, some components have already been developed by the planning team or
municipality, so it may not be necessary to develop all the activities in this phase.
E. Selection of thematic(s)
Our City Plans activities can be approached thematically/ components. Identify the theme(s) of interest:
⬚
Citizen participation and stakeholder involvement
⬚ Disaster risk management and climate resilience
⬚ Analysis and spatial data
⬚ Urban finance and mobilisation mechanisms
⬚ Alignment with global agendas
⬚ Socio-spatial inclusion

174. T6 Self-Assessment Guide
F. Identification of activities by thematic area
The table below specifies components per thematic areas. Based on the selected themes that are more
relevant to the city, use the reference table to assess which components need to be developed and select the
corresponding activities to be included in your planning process.
T6 Self-Assessment Guide
Section 3. Assessing table
Additionally to the planning objectives, it is necessary to acknowledge which are the available basic resources
for urban planning, in terms of:
● Time ● Available budget ● Internal capacity ● Territorial jurisdiction ● Stakeholders engagement
The lack of basic resources might crucially affect the quality of the urban planning process. The process,
defined with this toolbox, is a full and comprehensive sequence of activities that ensures a result aligned with
UN-Habitat planning standards. However, some steps might be challenging and require specific capacities.
This toolbox aims to support local governments with limited capacities, elaborating a customised and
incremental approach.
Review the final selection of activities and discuss how the programming of the planning process could be
adjusted to the available resources, and adapt it accordingly.
Section 4. Work plan
After understanding the urban planning process objective and evaluating the available resources, develop a
preliminary work plan using and adjusting the T8 Project Work Plan Template

175. T6 Self-Assessment Guide
F. Identification of activities by thematic area
The table below specifies components per thematic areas. Based on the selected themes that are more
relevant to the city, use the reference table to assess which components need to be developed and select the
corresponding activities to be included in your planning process.
T6 Self-Assessment Guide
Section 3. Assessing table
Additionally to the planning objectives, it is necessary to acknowledge which are the available basic resources
for urban planning, in terms of:
● Time ● Available budget ● Internal capacity ● Territorial jurisdiction ● Stakeholders engagement
The lack of basic resources might crucially affect the quality of the urban planning process. The process,
defined with this toolbox, is a full and comprehensive sequence of activities that ensures a result aligned with
UN-Habitat planning standards. However, some steps might be challenging and require specific capacities.
This toolbox aims to support local governments with limited capacities, elaborating a customised and
incremental approach.
Review the final selection of activities and discuss how the programming of the planning process could be
adjusted to the available resources, and adapt it accordingly.
Section 4. Work plan
After understanding the urban planning process objective and evaluating the available resources, develop a
preliminary work plan using and adjusting the T8 Project Work Plan Template

176. T6 Self-Assessment Guide T7 Workshop Checklist
Description This tool aims to provide guidelines to carry out any planning activity as a workshop, to allow
for more participation, collaboration, and interaction. Workshops can take place in-person,online or hybrid
modality, according to available resources, physical and public health conditions, needs, and objectives.
Both formats can be combined in different activities along a planning process.
Participants This activity is carried out by the technical team.
In-person workshop Online workshop
Participants gather in the same physical space to carry
out an activity in a participatory way.
Participants meet online synchronously (at the same time)
using a digital tool.
Considerations:
● Ideal when participants are located in the same
community or city.
● Face-to-face discussions provide more interaction
and engagement.
● The number of participants is restricted to the size of
the physical space available.
● Availability of resources should be ensured (avenue,
catering and sketching materials or printouts)
Considerations:
● Ideal when participants are not located in the same
geographical area.
● Ideal when conditions do not allow for physical
contact, such as the implementation of public health
measures or limited resources for commuting.
● Can allow for a large number of participants.
● Internet access and digital fluency are required.
● Can be more cost-effective (if free digital tools are
used). No need for sketching materials or printouts.
Hybrid workshop
Some participants will gather in the same physical space and some of them will be attending remotely (at the same
time) using a digital platform.
Considerations:
● Ideal when there are conditions to hold an in-person workshop but some participants are not located in the
same geographical area.
● It is important to create ways of interactions and connections with participants in the room and those who
have joined remotely.
● Ensure that everyone has access to the same tools whether they participate in the room or virtually.
Workshop general guidelines
Preparation
● Define if the workshop will be carried out in person,online or hybrid.
● Set a date, time, and place (if it is in-person) or digital tool (if it is online) to implement the workshop.
● Create a facilitation guide outlining the specific activities that will be conducted and the duration of each one.
Set a time at the beginning to share the workshop's objectives and for participants' introductions.
● Identify and make a list of participants, using an excel spreadsheet to gather their details. These will vary
according to the activity.
● Extend invitations to participants. Include the workshop's objective, date, time, duration, address or link, and a
method to confirm guests' participation (by email, digital form, text message, phone call, etc.).
● Assign roles and responsibilities.
● Prepare all the materials needed. For in-person workshops, set the room and furniture layout in advance. For
online workshops, test the digital tool beforehand to get familiar with it and solve any technical issues.

177. T6 Self-Assessment Guide T7 Workshop Checklist
Description This tool aims to provide guidelines to carry out any planning activity as a workshop, to allow
for more participation, collaboration, and interaction. Workshops can take place in-person,online or hybrid
modality, according to available resources, physical and public health conditions, needs, and objectives.
Both formats can be combined in different activities along a planning process.
Participants This activity is carried out by the technical team.
In-person workshop Online workshop
Participants gather in the same physical space to carry
out an activity in a participatory way.
Participants meet online synchronously (at the same time)
using a digital tool.
Considerations:
● Ideal when participants are located in the same
community or city.
● Face-to-face discussions provide more interaction
and engagement.
● The number of participants is restricted to the size of
the physical space available.
● Availability of resources should be ensured (avenue,
catering and sketching materials or printouts)
Considerations:
● Ideal when participants are not located in the same
geographical area.
● Ideal when conditions do not allow for physical
contact, such as the implementation of public health
measures or limited resources for commuting.
●
Can allow for a large number of participants.
● Internet access and digital fluency are required.
● Can be more cost-effective (if free digital tools are
used). No need for sketching materials or printouts.
Hybrid workshop
Some participants will gather in the same physical space and some of them will be attending remotely (at the same
time) using a digital platform.
Considerations:
● Ideal when there are conditions to hold an in-person workshop but some participants are not located in the
same geographical area.
● It is important to create ways of interactions and connections with participants in the room and those who
have joined remotely.
● Ensure that everyone has access to the same tools whether they participate in the room or virtually.
Workshop general guidelines
Preparation
● Define if the workshop will be carried out in person,online or hybrid.
● Set a date, time, and place (if it is in-person) or digital tool (if it is online) to implement the workshop.
● Create a facilitation guide outlining the specific activities that will be conducted and the duration of each one.
Set a time at the beginning to share the workshop's objectives and for participants' introductions.
● Identify and make a list of participants, using an excel spreadsheet to gather their details. These will vary
according to the activity.
● Extend invitations to participants. Include the workshop's objective, date, time, duration, address or
link, and a
method to confirm guests' participation (by email, digital form, text message, phone call, etc.).
● Assign roles and responsibilities.
● Prepare all the materials needed. For in-person workshops, set the room and furniture layout in advance. For
online workshops, test the digital tool beforehand to get familiar with it and solve any technical issues.

178. T7 Workshop Checklist
Roles
Participant-facing roles (they interact directly with workshop attendants)
● Facilitator: presents the workshop's objectives and instructions, and facilitates activities, and discussions.
● Content note-taker: writes down, collects, or pins up the content being discussed on a wall, board, paper or
any surface used during the workshop. Sometimes this person can be the same as the facilitator.
Backstage roles (provide support)
● Workshop note-taker and photographer: documents how the workshop is developed — such as the topics
discussed, the participants' reactions, activities and possible iterations — and takes photos of the process.
● Time keeper: makes sure that the workshop schedule is kept on time. Let the facilitator know when there are
10, 5, and/or 2 minutes left for an activity so they can wrap up.
● Logistics/technical support: provides assistance in any logistical or technical issue that comes up especially in
digital meetings, e.g. room control, screen share content, audio check etc.
After the workshop
● Gather feedback from participants to evaluate the content (impressions and learnings) and format (what
worked well and what can be improved). This can be done by handing out a questionnaire at the end of the
workshop, or by sending out an online survey. You can find a questionnaire sample at the end of this tool.
● Share the materials used and produced during the workshop (presentations, videos, photos, maps, etc).
In-person workshops
List of materials: define according to the type of activities and workshop's objective.
Space & furniture:
● A large enough room/space to fit all participants
(complying with public health measures).
● A designated central space for the facilitator to
present the activities and goals.
● Tables (without tablecloth) arranged in groups. All
participants should be able to see the facilitator.
● Chairs for all participants.
● Pin up board, white board or a blank paper board
to hang, pin up or draw notes and results. [For
the facilitator and/or the content note-taker.]
● Pins or adhesive tape for pinning up and markers
for drawing. [For the facilitator and/or the content
note-taker.]
Drawing & sketching tools:
● Rolls of tracing paper of sufficient size to sketch
on top of the maps. [80cm roll for A1 or double
tabloid. 2 rolls per group. Make sure the paper is
transparent.]
● Thick drawing markers. Provide different colours:
black, light green, light blue, red, yellow, brown,
orange. [One set of colours per group.]
● Black fine liners and pencils. [2-3 per group.]
● Coloured sticky notes.
● A stack of white A3 or tabloid paper. [To distribute
upon needs.]
● Rulers of sufficient length to measure distances
on provided maps. [If applicable.]
● Cardboard and scissors. [If applicable.]
Other technical equipment:
● A video projector of reasonable quality (minimum
resolution 1024px, higher if available), bright
enough to see in non-darkened rooms. A
sufficiently large white surface to project on.
[Upon availability. It will be used to project the
workshop content.]
● If a video projector is not available, a TV screen
can be used.
● Sufficient plugs and extension cords for laptops
and screens. [These will be used to connect to
the projector.]
● Camera or cell phone to take pictures.
Maps & documents:
● Printed Our City Plans tools and worksheets.
● Printed base map(s) and aerial image(s) of the
municipality at reasonable scale (suggested
1:5000) and size (suggested A1 or double
tabloid). [One set of maps and aerial images per
group.]
● Existing planning documents, upon availability.
[Everyone should be able to see them.]
● Set of photos considered useful to illustrate the
area of study. [One set of photos per group.]
T7 Workshop Checklist
Online workshops
Digital tools: select according to specific purposes and workshop exercises.
Purpose Tools
Video conferencing, meetings, workshops, webinars, Zoom , Google Meet , Microsoft Teams
Facebook Live, Instagram Live, Youtube Live (for webinars and virtual events)
Collaborative documents, spreadsheets, presentations Google Docs , Google Sheets , Google Slides
Brainstorms, digital boards, collaborative design Miro , Invision , Mural , Notion , Google Jamboard
Surveys Google Forms , KoBo Toolbox (asynchronous)
Mentimeter , Poll Everywhere (synchronous, for interactive questionnaires
during presentations/workshops).
Invitations, event communications Mail Chimp Social media (Whatsapp groups, Facebook, Instagram)
Project management Trello , Monday , Asana
Workshop evaluation questionnaire
Overall, how do you rate this workshop?
⬚ Poor ⬚ Fair ⬚ Good ⬚ Very good ⬚ Excellent
How much do you agree with the following statements?
1 = Strongly disagree 2 = Disagree 3 = Neutral 4 = Agree 5 = Strongly Agree
The workshop was useful ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
The workshop objectives were stated and clearly met ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
The workshop was well organised ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Activities and discussions were well facilitated ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
The length of the workshop sufficient ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
What was your main take-away/learning from today's content and discussions?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..….. .
What did you enjoy the most?

179. T7 Workshop Checklist
Roles
Participant-facing roles (they interact directly with workshop attendants)
● Facilitator: presents the workshop's objectives and instructions, and facilitates activities, and discussions.
● Content note-taker: writes down, collects, or pins up the content being discussed on a wall, board, paper or
any surface used during the workshop. Sometimes this person can be the same as the facilitator.
Backstage roles (provide support)
● Workshop note-taker and photographer: documents how the workshop is developed — such as the topics
discussed, the participants' reactions, activities and possible iterations — and takes photos of the process.
● Time keeper: makes sure that the workshop schedule is kept on time. Let the facilitator know when there are
10, 5, and/or 2 minutes left for an activity so they can wrap up.
● Logistics/technical support: provides assistance in any logistical or technical issue that comes up especially in
digital meetings, e.g. room control, screen share content, audio check etc.
After the workshop
● Gather feedback from participants to evaluate the content (impressions and learnings) and format (what
worked well and what can be improved). This can be done by handing out a questionnaire at the end of the
workshop, or by sending out an online survey. You can find a questionnaire sample at the end of this tool.
● Share the materials used and produced during the workshop (presentations, videos, photos, maps, etc).
In-person workshops
List of materials: define according to the type of activities and workshop's objective.
Space & furniture:
● A large enough room/space to fit all participants
(complying with public health measures).
● A designated central space for the facilitator to
present the activities and goals.
● Tables (without tablecloth) arranged in groups. All
participants should be able to see the facilitator.
● Chairs for all participants.
● Pin up board, white board or a blank paper board
to hang, pin up or draw notes and results. [For
the facilitator and/or the content note-taker.]
● Pins or adhesive tape for pinning up and markers
for drawing. [For the facilitator and/or the content
note-taker.]
Drawing & sketching tools:
● Rolls of tracing paper of sufficient size to sketch
on top of the maps. [80cm roll for A1 or double
tabloid. 2 rolls per group. Make sure the paper is
transparent.]
● Thick drawing markers. Provide different colours:
black, light green, light blue, red, yellow, brown,
orange. [One set of colours per group.]
● Black fine liners and pencils. [2-3 per group.]
● Coloured sticky notes.
● A stack of white A3 or tabloid paper. [To distribute
upon needs.]
● Rulers of sufficient length to measure distances
on provided maps. [If applicable.]
● Cardboard and scissors. [If applicable.]
Other technical equipment:
● A video projector of reasonable quality (minimum
resolution 1024px, higher if available), bright
enough to see in non-darkened rooms. A
sufficiently large white surface to project on.
[Upon availability. It will be used to project the
workshop content.]
● If a video projector is not available, a TV screen
can be used.
● Sufficient plugs and extension cords for laptops
and screens. [These will be used to connect to
the projector.]
● Camera or cell phone to take pictures.
Maps & documents:
● Printed Our City Plans tools and worksheets.
● Printed base map(s) and aerial image(s) of the
municipality at reasonable scale (suggested
1:5000) and size (suggested A1 or double
tabloid). [One set of maps and aerial images per
group.]
● Existing planning documents, upon availability.
[Everyone should be able to see them.]
● Set of photos considered useful to illustrate the
area of study. [One set of photos per group.]
T7 Workshop Checklist
Online workshops
Digital tools: select according to specific purposes and workshop exercises.
Purpose Tools
Video conferencing, meetings,
workshops, webinars,
Zoom , Google Meet , Microsoft Teams
Facebook Live, Instagram Live, Youtube Live (for webinars and virtual events)
Collaborative documents,
spreadsheets, presentations
Google Docs , Google Sheets , Google Slides
Brainstorms, digital boards,
collaborative design
Miro , Invision , Mural , Notion , Google Jamboard
Surveys Google Forms , KoBo Toolbox (asynchronous)
Mentimeter , Poll Everywhere (synchronous, for interactive questionnaires
during presentations/workshops).
Invitations, event communications Mail Chimp
Social media (Whatsapp groups, Facebook, Instagram)
Project management Trello , Monday , Asana
Workshop evaluation questionnaire
Overall, how do you rate this workshop?

⬚ Poor ⬚ Fair ⬚ Good ⬚ Very good ⬚ Excellent
How much do you agree with the following statements?
1 = Strongly disagree 2 = Disagree 3 = Neutral 4 = Agree 5 = Strongly Agree
The workshop was useful ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
The workshop objectives were stated and clearly met ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
The workshop was well organised ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Activities and discussions were well facilitated ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
The length of the workshop sufficient ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
What was your main take-away/learning from today's content and discussions?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..….. .
What did you enjoy the most?

180. T7 Workshop Checklist
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..….. .
What did you enjoy the least?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..….. .
Do you have any suggestions on how to improve this workshop?
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..….. .
(Additional questions) …………. …………………...……….....……………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ………………….
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...
….………………..…………………………...……..…………………………..……………………….... ....... ……………..…...

181. P
T8 Work Plan Template
Project Title:
Colour the cells to indicate the time frame in which activities will be completed. Check [
✓
] the ones that are done.
Weeks
Phase-BlockBlock TitleActivities
MonthMonthMonthMonthMonthMonthMonthMonthMonth
1234567891011121314151617181920212223242526272829303132333435
A1. Human and Physical Resources
Review
A2. Legal and Financial Resources Review
A3. Financial Resources Review
A4. Self-Assessment Workshop
B5. Guiding Document
B6. Environmental and Social Development
Impact Plan (DIP) for the Planning P rocess
B7. Resource Mobilisation and Project
Office
C8. Participation and Committees
Formation
C9. Partecipation Plan
C10. Communication Strategy
C11. Public Launch of the Project
D12. Desk Research
D13. Field Research
D14. Analysis
D15. Analysis Validation and Diagnostic
Workshop
D16. Diagnostic
E17. Strategic Visioning Workshop
E18. Monitoring and Evaluation Framework
E19. Spatialisation of the Strategic Vision
E20. Sustainable Development Structure
E21. Spatial Strategy
E22. Environmental and Social Impact
Strategy for the City Plan
E23. Catalytic Projects Workshop
E24. Pre-operationalisation
E25. Public Hearing
F26. Land Use and Regulatory Directives
F27. Sectoral Planning
F28. Land Development Strategy
F29. Public Hearing
1. ASSESSMENT 2. PLAN
AContextualization
BProject Preparation
CPartic
ipation Set-Up
CAnalysis & Diagnostic
E
Strategic Development
Plan
F
Land Management
Plan
Example
Example
E
n
d

182. P
T8 Work Plan Template
Project Title:
Colour the cells to indicate the time frame in which activities will be completed. Check [
✓
] the ones that are done.
Weeks
Phase-BlockBlock TitleActivities
MonthMonthMonthMonthMonthMonthMonthMonthMonth
1234567891011121314151617181920212223242526272829303132333435
3. OPERATIONALIZATION 4. IMPLEMENTATION
GDetailed Plan
HProgramming
ILand Management
JFinancial Enablers
K
Governance and Legal
Enablers
LAction Plan
M
Implementing
Mechanism
NAccountability System
G30. Detailed Data Gathering and Analysis
G31. Neighbourhood Plan Preparation
G32. Neighbourhood Planning Workshop
G33. Neighborhood Planning and Design
G34. Neighbourhood Projects and
Interventions
G35. Neighborhood Public Hearing
H36. Project Prioritisation
H37. Project Programming and Preparation
H38. Project Programming Workshop
H39. Project Feasibility Study
I40. Land Administration and Information
I41. Land Rights
J42. Financial Mechanisms
J43. Capital Investment Plan
K44. Institutional Arrangements
K45. National and Sub-National Urban
Legal Framework
L46. City Action Planning Workshop
L47. Public Hearing and Presentation of the
Action Plan
M48. Project Management
M49. Implementation Work Plan
M50. Resources Mobilisation
M51. Plan Approval
N52. Monitoring and Evaluation
N53. Advocacy, Feedback and Learning
Mechanisms
N54. Advocacy, Feedback and Learning
Mechanisms T (nYLronmental anG 6oFLal 6FreenLnJ 5eport Template
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X
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? (pplies for! ;otal score is lower
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,X\P]eSir[ [V <5/eIP[e[?Z ,:: *e[iNVY` ,
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(Physical
intervention)
X
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? (pplies for! proQects with limited
ph`sical interventions or total
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? (ctivities to consider in the
workplan and budNet! :copinN
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:ocial (ction 7lan ,:(7.
,X\P]eSir[ [V <5/eIP[e[?Z ,:: *e[iNVY` *
erK )
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workplan and budNet ! :copinN
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0mpact (ssessment 9eport ,:0(. ,X\P]eSir[ [V <5/eIP[e[?Z ,:: *e[iNVY` ( )
erK )
X
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? (pplies for! 9eNardless of the score the proQect is desiNned to
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183. T9 Guiding Document Template
Description This tool supports the creation of the Terms of Reference (ToR) / Project Document (prodoc)
regarding the planning process. The ToR defines the project's background, purpose, institutional and legal
arrangements, goals, and deliverables. It states who will take part of the project and their roles, including the
technical team, partners, and stakeholders. Finally, it establishes the process, activities, actors/ stakeholders
involved and workplan that will be followed, and the resources and budget that will be used.
Participants This document is developed by the project leader and the preliminary technical team.
Representatives of the local government and decision-makers, political champions, potential key
stakeholders, and partners should be involved in the process to provide their input and feedback.
Instructions
Use the guiding questions below to write the Terms of Reference document.
Justification
● Why is it relevant to develop an urban planning process?
Context
● What is the project background?
● What is the legal and institutional framework for the planning process?
● Does the city already have a plan? When was it last updated?
● What is the local context of the city (population, growth, density, risks, infrastructures, etc.)?
Objectives and Strategies
● What are the project's objectives? Some examples include:
○ Produce/update a plan for the city
○ Provide a legal framework for planning processes
○ Identify the extension zones to absorb the urban growth in the next 15 years
○ Identify options and priorities for climate change adaptation
● What is the area of study for the plan?
● What strategies and processes will be implemented to meet those objectives? Some examples include:
○ Follow a participatory approach
○ Build a solid data base for the city
● What are the risks and challenges for developing this project (T10 Environmental and Social Screening Report
Template for the Planning Process) ? What are potential solutions to address them?
Team
●
What expertise and roles are needed to complete the planning process and project? (Use the T1 List of
Minimum Required Expertise and Partners tool)
● Who will be in charge of each task?
Outputs
● What are the expected deliverables and their content? Suggestions:
Output 1: Analysis and diagnosis , which includes:
- Multiscale analysis

184. T9 Guiding Document Template
- Climate vulnerability assessment
- Topics (Governance, infrastructure, land use, environnement, etc.)
- Maps and scales
- Strategic vision
Output 2: Urban plan , which includes:
- Suitability map
- Sectoral plans
- Land use plan
Output 3: Implementation plan , which includes:
- Actions, activities, and strategies for the implementation of the plan
- Indicators, including how and when they will be measured
- Budget lines
Participation and communication
● Who will be involved in the planning process and in what way? (Use the T12 Stakeholders' Mapping tool) This
includes:
○ Relevant stakeholders and decision making
○ Steering and advisory committee members
○ Engagement strategies and activities for different types of involvement along the planning process
● How will the general population be informed about the project? What are the communication strategies?
Activities
● What activities should be carried out to complete the project successfully? Use the activities included in the
toolbox and the results of the T6 Self-Assessment Guide to define the activities, methodologies and expected
results.
● What are the key performance indicators that will be used to monitor and evaluate the planning process? (Use
the T3 Matrix of References tool).
Work plan
● What is the work plan and deadlines to achieve the project activities and goals? (Use the
T8 Work Plan
Template
tool).
Budget
● What is the project budget? How will financial resources be allocated?
○ See T5 Project Budget template
ESS Screening Report
● Fill the T10 Environmental and Social Screening Report Template and attach to the Guiding Document.

185. T9 Guiding Document Template
- Climate vulnerability assessment
- Topics (Governance, infrastructure, land use, environnement, etc.)
- Maps and scales
- Strategic vision
Output 2: Urban plan , which includes:
- Suitability map
- Sectoral plans
- Land use plan
Output 3: Implementation plan , which includes:
- Actions, activities, and strategies for the implementation of the plan
- Indicators, including how and when they will be measured
- Budget lines
Participation and communication
● Who will be involved in the planning process and in what way? (Use the T12 Stakeholders' Mapping tool) This
includes:
○ Relevant stakeholders and decision making
○ Steering and advisory committee members
○ Engagement strategies and activities for different types of involvement along the planning process
● How will the general population be informed about the project? What are the communication strategies?
Activities
● What activities should be carried out to complete the project successfully? Use the activities included in the
toolbox and the results of the T6 Self-Assessment Guide to define the activities, methodologies and expected
results.
● What are the key performance indicators that will be used to monitor and evaluate the planning process? (Use
the T3 Matrix of References tool).
Work plan
● What is the work plan and deadlines to achieve the project activities and goals? (Use the T8 Work Plan
Template
tool).
Budget
● What is the project budget? How will financial resources be allocated?
○ See T5 Project Budget template
ESS Screening Report
● Fill the T10 Environmental and Social Screening Report Template and attach to the Guiding Document.
T10 Environmental and Social Screening
Report Template
Description This tool aims to support the development of the Guiding Document (Terms of Reference)
regarding the environmental and social risks . It identifies the risk category of the planning process and
outlines the activities to be considered in the work plan to monitor and manage the impacts.
Participants This document is developed by the project leader and the preliminary technical team.
Instructions
Gather and review the documents of the city plan and use the guiding questions below to write the Screening
Report for the Planning Process/Plan/Project.
During the Guiding Document brainstorming and discussion session, revise and validate the results with the
local government and key potential partners and stakeholders.
1. GENERAL INFORMATION OF THE PLAN/PROJECT
● What is the location of the plan/project (continent, country, province): .…………………………...……………….
● What is the population of the city: .…………………………...………………………...
● What is the extension of the city: .............……….…………..………………………...
● What is the expected duration for the planning process/project (number of months)? …………….…….…....
Potential Stakeholders interested in the Plan/Project
● List the stakeholders that should participate in the planning process. Tip: use the table 1 of the tool T12
Stakeholders’ Mapping
1. ………………………...……………………………. 8. ………………………...……………………………..
2. ………………………...……………………………. 9. ………………………...…………………………….
3. ………………………...……………………………. 10. ………………………...…………………………….
4. ………………………...……………………………. 11. ………………………...…………………………….
5. ………………………...……………………………. 12. ………………………...…………………………….
6. ………………………...……………………………. 13. ………………………...…………………………….
7. ………………………...……………………………. 14. ………………………...…………………………….
Existing regulations and requirements
● Does the country, region or city have any regulation related to Safeguard Systems (impact assessment, risk
monitoring and management, action plan, etc)? ⬚ No ⬚ Yes
● If yes, does the regulation require that this type of work (City Planning Process) develops an Environmental and
Social Impact Assessment (ESIA)? (yes/no/NA)
⬚ No ⬚ Yes:…………………………………………………………………………………………………………….
………………………………………………….………………………………………………………………………....
● Is an ESIA process required by the donor requirements (if any)? ⬚ No ⬚ Yes

186. T10 Environmental and Social Screening
Report Template
● If yes, are there gaps between the national/regional/city and the donor's Social systems and requirements? If
yes, list the main differences.
⬚ No ⬚ Yes:……………………………………………………………………………………………………………

187. T10 Environmental and Social Screening Report Template
2. IDENTIFICATION OF RISKS
Safeguards Potential risks and impacts from the process Rank the risk level
Planning activities City Plan Project
Labour and working
conditions
Worker’s rights may be neglected/violated.
⬚
0
⬚
1
⬚
2
⬚
3
The work could involve the use of child labour.
⬚
0
⬚
1
⬚
2
⬚
3
The work could involve the use of forced labour.
⬚
0
⬚
1
⬚
2
⬚
3
Freedom of workers' organisations or collective bargaining may be neglected.
⬚
0
⬚
1
⬚
2
⬚
3
May particularly affect the safety to live, work and participate in urban life
for persons in vulnerable situations.
⬚
0
⬚
1
⬚
2
⬚
3
Zero-carbon
development,

pollution prevention
and resource

efficiency
During construction or operation, it generates pollutants or waste , which
could affect human health or the environment .
⬚
0
⬚
1
⬚
2
⬚
3
During construction or operation, hazardous materials or pesticides , which
could affect human health or the environment, may be used .
⬚
0
⬚
1
⬚
2
⬚
3
Requires a signi ficant amount of water and/or energy , which implies competition with host communities (for instance, water for huma n consumption

or economic activities)

⬚
0
⬚
1
⬚
2
⬚
3
Climate change
resilience,

community health,

safety and security
Does the project adversely affect the resilience of ecosystems, urban
systems, infrastructure or communities?
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
Activities, machinery or infrastructure associated to the project/programme could have adverse impact on the community' health and safety
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
In case of an accident or emergency situation, the effect on the surrounding
community or in the ecosystem could be signi ficant.
⬚
0
⬚
1
⬚
2
⬚
3
The planning/project area is vulnerable to health issues that can put the
technical team at risk (e.g. epidemic, malaria, ebola, etc.)

⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3

188. T10 Environmental and Social Screening Report Template
The planning/project area emcompasses areas of social tension (e.g.
terrorism, community groups tensions, political violence, land dispute, etc.)

⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
The planning/project area is vulnerable to climate and environmental
hazards that can put the technical team at risk (e.g. strong storms,
cyclones, etc.)

⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
Activities such as workshops and public consultations associate d with the
plan/project could have adverse impact on the participant's safety.

⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
Displacement and involuntary

resettlement
In case of an accident or emergency situation, the effect on the
implementing body could be signi ficant.

⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
Biodiversity conservation, and

sustainable

management of

living natural

resources

May adversely impact the marine ecosystem
⬚
0
⬚
1
⬚
2
⬚
3
May adversely impact natural habitats
⬚
0
⬚
1
⬚
2
⬚
3
May adversely impact critical habitats
⬚
0
⬚
1
⬚
2
⬚
3
May adversely impact legally protected areas (by national or international
regulations)
⬚
0
⬚
1
⬚
2
⬚
3
Indigenous peoples
May adversely impact the rights, lands, resources and territories of the
indigenous peoples
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
Cultural Heritage
May adversely impact cultural heritage properties and sites of archaeological, historical, cultural, artistic, and religious signi ficance. May adversely impact intangible heritage (uses and traditions...)
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
Compliance with the Law

Application to environmental, building or other sectoral permits is a requirement by the local regulation

⬚
0 (no)
⬚
3 (yes)
⬚
0 (no)
⬚
3 (yes)
⬚
0 (no)
⬚
3 (yes)
Activities, workshops, consultations, machinery or infrastructu re imply/involve any violation to local, regional, national regulations (e.g constitution,
declaration of civil rights ).

⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
Access and Spatial Justice

The equal distribution of the plan/project/programme bene fits is not guaranteed

⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3

189. T10 Environmental and Social Screening Report Template
May adversely result in any form of discrimination in the access to the project/programme bene fits

⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
Women and girls' participation in the plan/project development activities
is a challenge due to cultural or political context.

⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
The equal participation of indigenous people in participatory activities is
uncertain (if there are indigenous people in the planning area).

⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
The equal participation of migrants, refugees, stateless and internally displaced persons in participatory activities is uncertain (if these groups are present in the planning/project area).
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
Human rights May adversely involve any form of discrimination in the access to the
project bene fits.

⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
May imply the violation of any human right.
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
⬚
0
⬚
1
⬚
2
⬚
3
Total score:
3. CATEGORISATION OF RISK LEVEL
Note: The following categorization and activities to implement are references from the UN-Habitat Environmental and Social Safeguard System. The resulting category
and list of activities should be adjusted according to the existing regulations and donor requirements (from item 2 above).
Planning
Process

⬚

No risks or low risk
● Applies for: Total score is lower
than 32 or and no item was
scored with 2.
● Activities to consider in the
workplan and budget : none
Equivalent to UN-Habitat’s ESS Category D2.

⬚
Medium or high risk
● Applies for: Total score is above 32
or/and any item was scored with 3.
● Activities to consider in the
workplan and budget : Development
Impact Plan (DIP).

⬚

Potential risks
● Applies for: Regardless of the score, the planning runs under an
emergency/crisis or is part of a humanitarian action.
● Activities to consider in the workplan and budget : No
Safeguard activity is necessary at this stage. However, during the planning process, new risks can be identi fied. Each time the local situation changes, retake the Screening Report to identify the new category of risks and activities to be implemented.

190. T10 Environmental and Social Screening Report Template
Equivalent to UN-Habitat’s ESS Category E.
City/
Neighbourhood
Plan
⬚

No risks or low risk
● Applies for: Total score is lower
than 36 and no item was scored with 3.
● Activities to consider in the
workplan and budget :
Development Impact Plan (DIP).
Equivalent to UN-Habitat’s ESS Category D1.

⬚
Medium or high risk
● Applies for: Total score is above 36
and any item was scored with 3.
● Activities to consider in the
workplan and budget : Scoping
Report and Environmental and Social Action Plan (ESAP). Equivalent to UN-Habitat’s ESS Category C.

⬚

Potential risks
● Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of a humanitarian action.
● Activities to consider in the workplan and budget : If time
allows, prepare a Development Impact Plan (DIP). Each time the situation changes, retake the Screening Report.
Equivalent to UN-Habitat’s ESS Category E.
Project (Physical intervention)

⬚

No risks or low risk
● Applies for: projects with limited
physical interventions or total score is lower than 60 and no item was scored with 3.
● Activities to consider in the workplan and budget: Scoping
Report and Environmental and Social Action Plan (ESAP).
Equivalent to UN-Habitat’s ESS Category C
and B2.

⬚
Medium or high risk
● Applies for:
● Activities to consider in the
workplan and budget : Scoping
Report and Environmental and Social
Impact Assessment Report (ESIA). Equivalent to UN-Habitat’s ESS Category A, B1
and B2..

⬚

Potential risks
● Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian action.
● Activities to consider in the workplan and budget :
Environmental and Social Action Plan. Each time the situation changes, retake the Screening Report.
Equivalent to UN-Habitat’s ESS Category E.

191. T11
Environmental and Social Development Impact Plan (DIP) Template
Description This tool aims to support assessment of possible future impacts/risks identi fied in the Screening Report, and prepare a monitoring plan. and
prepare a simpli fied monitoring plan.
Participants This document is developed by the project leader and the preliminary technical team.
Instructions
Review the risks identi fied in the Screening Report and discuss with the team the activities to be undertaken in the urban planning process of your
city/neighbourhood in relation to the risks.
After that, list test duration and define a timeline for monitoring to ensure direct observation of the activity, subsequent development phases, changes that may
occur and measurement of the associated risk/impact. Fill the table below with the information.
1. ACTIVITIES OVERVIEW AND POTENTIAL ASSOCIATED RISKS
Nº
Name of activity
Description
Applicable safeguards and potential risk (explain)
2. FOLLOW-UP ACTIVITIES AND TIMELINE
Nº
Duration
Proposed observation timeline
Means of monitoring each associated impact
Stakeholder responsible for monitoring

192. T12 Stakeholders' Mapping
Description This tool is part of the project preparation process and is useful to understand the support or
opposition that the planning project may get from different actors. The stakeholders’ mapping matrix will
generate a graphic representation of the social and institutional structure of the context in which the planning
process will take place. The results will help the team define how to engage with each stakeholder, and
define a steering committee and an advisory committee to help guide the process.
Participants This tool can be carried out either by the preliminary technical team as an internal activity, or
by inviting external members (decision-makers, members of civil society, representatives of different groups,
etc.) to hold a more collaborative and participatory workshop. (See the Workshop Checklist (T7) tool for
more details).
Instructions
1. Make a list of all the stakeholders who are important to consider because they are required in the planning
process, or because of their interest, influence, or impact on the project (government institutions / civil
society or associations / informal associations or independent actors).
Tip: This can be done by using sticky notes of colour — where all the participants brainstorm the names and actors at
the same time — or by filling out each question on the printed template, where each participant responds
independently and then the answers are consolidated on a final list. If you use coloured sticky notes, you can use 3
different colours according to the type of institution (institutions and/or civil society; associations and/or informal
associations; independent actors) or any other category.
Include gender responsiveness and ensure the involvement of women and youth as well vulnerable and marginalised
groups in the process.
2. Categorise each stakeholder according to their level of power and affinity to the project using the template
matrix.
Power: The level of institutional, financial and/or social
influence and power in the decision-making process.
Affinity: The level of interest, involvement and/or
commitment to the project, in terms of their support or
opposition to the project.
Tip: Print
the matrix on an A1, A3 or tabloid paper — or else 4 A4 or legal/letter sticked together — to make a large
poster. You can also draw the matrix on a board or large paper.
3. Using arrows and lines, draw and discuss the different types of relationships between the identified
stakeholders (experience working together, willing to collaborate, conflictive, neutral, etc.).
4. The matrix suggests different ways to engage with stakeholders according to what quadrant they are
placed on (keep satisfied, monitor, manage closely, and keep informed). Those with a higher power are
likely to be the most useful supporters or most dangerous opponents. Using the matrix, discuss how each
stakeholder should be involved along the planning process. These might include methods to gather input,
opinions, and/or feedback or ways to keep them updated about the project. Some examples include:
T12 Stakeholders' Mapping
● Public hearings
● Bulletins/memos with project updates
● Consultation meetings
● Workshop
● Individual or group interviews
● Surveys/questionnaires

193. T12 Stakeholders' Mapping
Description This tool is part of the project preparation process and is useful to understand the support or
opposition that the planning project may get from different actors. The stakeholders’ mapping matrix will
generate a graphic representation of the social and institutional structure of the context in which the planning
process will take place. The results will help the team define how to engage with each stakeholder, and
define a steering committee and an advisory committee to help guide the process.
Participants This tool can be carried out either by the preliminary technical team as an internal activity, or
by inviting external members (decision-makers, members of civil society, representatives of different groups,
etc.) to hold a more collaborative and participatory workshop. (See the Workshop Checklist (T7) tool for
more details).
Instructions
1. Make a list of all the stakeholders who are important to consider because they are required in the planning
process, or because of their interest, influence, or impact on the project (government institutions / civil
society or associations / informal associations or independent actors).
Tip: This can be done by using sticky notes of colour — where all the participants brainstorm the names and actors at
the same time — or by filling out each question on the printed template, where each participant responds
independently and then the answers are consolidated on a final list. If you use coloured sticky notes, you can use 3
different colours according to the type of institution (institutions and/or civil society; associations and/or informal
associations; independent actors) or any other category.
Include gender responsiveness and ensure the involvement of women and youth as well vulnerable and marginalised
groups in the process.
2. Categorise each stakeholder according to their level of power and affinity to the project using the template
matrix.
Power: The level of institutional, financial and/or social
influence and power in the decision-making process.
Affinity: The level of interest, involvement and/or
commitment to the project, in terms of their support or
opposition to the project.
Tip: Print the matrix on an A1, A3 or tabloid paper — or else 4 A4 or legal/letter sticked together — to make a large
poster. You can also draw the matrix on a board or large paper.
3. Using arrows and lines, draw and discuss the different types of relationships between the identified
stakeholders (experience working together, willing to collaborate, conflictive, neutral, etc.).
4. The matrix suggests different ways to engage with stakeholders according to what quadrant they are
placed on (keep satisfied, monitor, manage closely, and keep informed). Those with a higher power are
likely to be the most useful supporters or most dangerous opponents. Using the matrix, discuss how each
stakeholder should be involved along the planning process. These might include methods to gather input,
opinions, and/or feedback or ways to keep them updated about the project. Some examples include:
T12 Stakeholders' Mapping
● Public hearings
● Bulletins/memos with project updates
● Consultation meetings
● Workshop
● Individual or group interviews
● Surveys/questionnaires

194. T12 Stakeholders' Mapping
Designate the members of the steering committee and the advisory committee.
Government institutions who should be involved in the planning process
Names of institutions and authorities Engagement strategies
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
Non-government stakeholders who should be involved because of their interest or influence on the project
Names of stakeholders Engagement strategies
Private sector
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
NGOs, civil society associations
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
Religious and/or ethnic groups
……………………………..……………………………..…...
……………………………..…………………………….
Women and girls (associations or organisations)
……………………………..……………………………..…...
……………………………..……………………………..…..
Children and youth (associations or organisations)
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
T12 Stakeholders' Mapping
Older persons (associations or organisations)
……………………………..……………………………..…...
……………………………..……………………………..…...
Persons with disabilities (associations or organisations)
……………………………..……………………………..…...
……………………………..……………………………..…...
Migrants, refugees, stateless, internally displaced persons
or indegenous people (associations or organisations, if
any)
……………………………..……………………………..…...
……………………………..……………………………..…...
Other vulnerable and minority groups
……………………………..……………………………..…...
……………………………..……………………………..…...
Other independent actors or relevant stakeholders
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..………………………………….
……………………………..……………………………..…... ……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…..
…………………………..……………………………..……..
……………………………..……………………………..…..
……………………………..……………………………..…...
Steering and advisory committees
The steering committee is a small or medium group of stakeholders that are involved in the decision-making and
validation processes. It works with the planning team to suggest strategies and orientations, review, and approve the
various steps of the planning process. Its members have a high level of power and affinity to the project, and come
from different sectors. It includes representatives from the local government, private sector, civil society and community,
financial partners (if any), and vulnerable groups.
Write down the names of the steering committee members:
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
The advisory committee provides technical expertise and empirical knowledge to ensure that the plan responds to
different perspectives and needs. It is composed by a heterogeneous group of experts such as members of the

195. T12 Stakeholders' Mapping
Designate the members of the steering committee and the advisory committee.
Government institutions who should be involved in the planning process
Names of institutions and authorities Engagement strategies
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
Non-government stakeholders who should be involved because of their interest or influence on the project
Names of stakeholders Engagement strategies
Private sector
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
NGOs, civil society associations
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
Religious and/or ethnic groups
……………………………..……………………………..…...
……………………………..…………………………….
Women and girls (associations or organisations)
……………………………..……………………………..…...
……………………………..……………………………..…..
Children and youth (associations or organisations)
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
T12 Stakeholders' Mapping
Older persons (associations or organisations)
……………………………..……………………………..…...
……………………………..……………………………..…...
Persons with disabilities (associations or organisations)
……………………………..……………………………..…...
……………………………..……………………………..…...
Migrants, refugees, stateless, internally displaced persons
or indegenous people (associations or organisations, if
any)
……………………………..……………………………..…...
……………………………..……………………………..…...
Other vulnerable and minority groups
……………………………..……………………………..…...
……………………………..……………………………..…...
Other independent actors or relevant stakeholders
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..………………………………….
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…..
…………………………..……………………………..……..
……………………………..……………………………..…..
……………………………..……………………………..…...
Steering and advisory committees
The steering committee is a small or medium group of stakeholders that are involved in the decision-making and
validation processes. It works with the planning team to suggest strategies and orientations, review, and approve the
various steps of the planning process. Its members have a high level of power and affinity to the project, and come
from different sectors. It includes representatives from the local government, private sector, civil society and community,
financial partners (if any), and vulnerable groups.
Write down the names of the steering committee members:
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
The advisory committee provides technical expertise and empirical knowledge to ensure that the plan responds to
different perspectives and needs. It is composed by a heterogeneous group of experts such as members of the

196. T12 Stakeholders' Mapping
government, private sector, academia, NGOs, vulnerable groups, international organisations, and key experts. They are
substantially involved during the technical activities and workshops to support the plan development.
Write down the names of the advisory committee members:
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
……………………………..……………………………..…...
Tip: Gender-responsive participation can be ensure with some concrete actions such as:
● Consider consultation with male and female stakeholders separately
● Identify time and location of consultation meetings suitable and comfortable for both men and women
● Consider appropriate ways of communication based on different gender and age access to information
technology and literacy.
● Consider setting minimum quota and progress targets.
T13 Participation Plan Guide
Description : This tool aims to support the development of the Participatory Plan, defining the specifications
of each activity and the risk and mitigation strategies for an inclusive and comprehensive participatory
process.
Participants : This plan is developed by the technical team. If there are implementing partners for the
participatory process (eg. NGOs or community groups), they should be involved in the development of this
plan to provide insights about their capabilities.
Instructions
Section 1. Implementation Plan
1. According to the defined participation strategy, fill in the following table for each participatory activity in the
process. While doing so, validate the information of each activity with the general work plan for the
participatory process to provide relevant inputs.
1. ACTIVITY (Add name) ……………...………………………………...………………………………...……………………
Tip: Replicate the table below for each activity in the process
Objective: ……………………...…………………………………
……………………………………..……..……..……..……..……
Goal (expected outputs) ……………………..……..…
……..……..……..……..……..……..……..……..……..
Audience: ⬚ Committee ⬚ Technical Experts ⬚ General Public ⬚ Community …..……..……..……..……..……..
Type: ⬚ In-person ⬚ Remote ⬚ Hybrid Timing: ⬚ Synchronous ⬚ Asynchronous
Associated planning process step(s) (activity) :
........................................................................................................................................................................................
Fill in the following information based on the audience, type and timing selected
Duration: ............................................................................... Date and Time: ........................................................
Location: …...…………………………………………............... Facilitator(s):
Digital platform: …………………………………….................

197. T13 Participation Plan Guide
Description : This tool aims to support the development of the Participatory Plan, defining the specifications
of each activity and the risk and mitigation strategies for an inclusive and comprehensive participatory
process.
Participants : This plan is developed by the technical team. If there are implementing partners for the
participatory process (eg. NGOs or community groups), they should be involved in the development of this
plan to provide insights about their capabilities.
Instructions
Section 1. Implementation Plan
1. According to the defined participation strategy, fill in the following table for each participatory activity in the
process. While doing so, validate the information of each activity with the general work plan for the
participatory process to provide relevant inputs.
1. ACTIVITY (Add name) ……………...………………………………...………………………………...……………………
Tip: Replicate the table below for each activity in the process
Objective: ……………………...…………………………………
……………………………………..……..……..……..……..……
Goal (expected outputs) ……………………..……..…
……..……..……..……..……..……..……..……..……..
Audience:
⬚ Committee ⬚ Technical Experts ⬚ General Public ⬚ Community …..……..……..……..……..……..
Type: ⬚ In-person ⬚ Remote ⬚ Hybrid Timing: ⬚ Synchronous ⬚ Asynchronous
Associated planning process step(s) (activity) :
........................................................................................................................................................................................
Fill in the following information based on the audience, type and timing selected
Duration: ............................................................................... Date and Time: ........................................................
Location: …...…………………………………………............... Facilitator(s):
Digital platform: …………………………………….................

198. T13 Participation Plan Guide
Participants
List who should be invited to participate (names of
institutions). Tip: When thinking about the general public,
consider key population groups.
1. ………………………...………
2. ………………………...………
3. ………………………...………
4. ………………………...………
5. ………………………...………
6. ………………………...………
7. ………………………...………
8. ………………………………..
Vulnerable Groups
A particular attention should be given to minority, marginalised
and vulnerable peoples that have been identified iIn specific
cities and target areas, they should be consulted and their
interests or concerns taken into account. List who are the
vulnerable groups that need to be involved in the process and
may need a different approach
1. ………………………...………
2. ………………………...………
3. ………………………...………
4. ………………………...………
5. ………………………...………
Materials needed
List all of the materials needed for the activity. Tip:
think about materials to develop (ppt, booklets, etc.)
and materials to procure (stationery items). See T7
Workshop Checklist as a reference.
1. ………………………...………
2. ………………………...………
3. ………………………...………
4. ………………………...………
5. ………………………...………
6. ………………………...………
7. ………………………………..
8. ………………………………..
Agenda
Map out the main steps within the activity and define how long they should take. Add as many rows as needed.
Step Duration Notes
1. ………………………...… ………………………………………………..
2. ………………………...… ………………………………………………..
3. ………………………...… ………………………………………………..

199. T13 Participation Plan Guide
Participants
List who should be invited to participate (names of
institutions). Tip: When thinking about the general public,
consider key population groups.
1. ………………………...………
2. ………………………...………
3. ………………………...………
4. ………………………...………
5. ………………………...………
6. ………………………...………
7. ………………………...………
8. ………………………………..
Vulnerable Groups
A particular attention should be given to minority, marginalised
and vulnerable peoples that have been identified iIn specific
cities and target areas, they should be consulted and their
interests or concerns taken into account. List who are the
vulnerable groups that need to be involved in the process and
may need a different approach
1. ………………………...………
2. ………………………...………
3. ………………………...………
4. ………………………...………
5. ………………………...………
Materials needed
List all of the materials needed for the activity. Tip:
think about materials to develop (ppt, booklets, etc.)
and materials to procure (stationery items). See T7
Workshop Checklist as a reference.
1. ………………………...………
2. ………………………...………
3. ………………………...………
4. ………………………...………
5. ………………………...………
6. ………………………...………
7. ………………………………..
8. ………………………………..
Agenda
Map out the main steps within the activity and define how long they should take. Add as many rows as needed.
Step Duration Notes
1. ………………………...… ………………………………………………..
2. ………………………...… ………………………………………………..
3. ………………………...… ………………………………………………..
T13 Participation Plan Guide
Section 2. Outreach Plan
1. According to the communication strategy, fill in the following table for each outreach activity in the process,
associated with the diffusion of a participatory activity to a certain audience. While doing so, validate the
information of each activity with the general work plan for the communication to be effective.
Tip: Validate the activities with a communication expert, either external or within the team. Use this guide to have a
general overview of the activities and overall plan.
1. OUTREACH ACTIVITY (Add name) ……………...………………………………...………………………………………
Tip: Replicate the table below for each activity in the process
Objective: ……………………...…………………………………………………………………………..………..………..…
……………………...…………………………………………………………………………..………..………..……..……….
General Audience:
⬚ Committees ⬚ Technical Experts ⬚ General Public ⬚ Vulnerable group
Target audience (key population groups or stakeholders)
…………………………………………………………………
…………………………………………………………………
…………………………………………………………………
Participatory Activity Associated:
…………………….............................................................
.........................................................................................
Type:
⬚ Physical ⬚ Digital
Communication Channel(s): ⬚ Social Media ⬚ Posters ⬚ Website ⬚ Events ⬚ Radio
⬚ Print Media (newspapers and magazines) ⬚ Audiovisual (TV) ⬚ Other …………………………………………
Release Date and Time:
………………………………………………………
Run time ( if applicable)
…………………………………………………
Content
Define what information needs to be transmitted to the
audience and how to do it.
…………………………………………………………………
…………………………………………………………………
…………………………………………………………………
…………………………………………………………………
…………………………………………………………………
…………………………………………………………………
………………………………………………
Materials needed
List all of the materials needed for the activity. Tip: think
about materials to develop (graphics, audios, social media
account/pages)
1. ………………………...………
2. ………………………...………
3. ………………………...………
4. ………………………...………
Section 3. Risks and Mitigation Strategy
This section should be done in parallel to the definition of the implementation and outreach plan for the specific
activities and actions to reflect the results obtained.

200. T13 Participation Plan Guide
1. Use the guiding questions below to identify risks for the implementation and success of the participatory
process.
Risk Analysis
● Can everyone participate in this process?
● Do people have the time to participate in these activities? Are they willing to do so?
● Are people of different gender, age, schooling, occupation, socioeconomic level, abilities and health levels able
to participate?
● What is the level of technological literacy of the participants?
● Do the participants have access to technological resources for remote activities?
● What is the participants' preferred method of communication? (speaking, writing, drawing, etc.)
● Have accessibility and universal design been considered?
● Are there formal or informal local leaderships among the population that should be considered?
● Is the sociopolitical atmosphere safe for the implementation of a participatory process? Is there social unrest in
the area?
● Are there any political, social or health crises that could intervene or stop the process? (eg. pandemics, wars,
riots)
● Do the participants trust this type of process and the institutions doing them?
● Is there or could there be opposition to the implementation of this process? Who leads this opposition?
● Does the technical team have the skills and knowledge to facilitate and engage the participants?
● Are there enough resources available for the implementation of this plan?
2. Fill in the following table based on the previous answers
Risk Identified
What is the existing or
potential risk for the
execution and success of
this plan?
Mitigation Strategy
How can this risk be
tackled through the plan
itself?
Resources needed
Are any additional resources
needed for the execution of
the mitigation strategy?
(materials, funds, personnel,
etc.)
Activities impacted
Which activities within this
plan are directly impacted by
this risk and its mitigation
strategy? Does the activity
reflect this?

201. T13 Participation Plan Guide
1. Use the guiding questions below to identify risks for the implementation and success of the participatory
process.
Risk Analysis
● Can everyone participate in this process?
● Do people have the time to participate in these activities? Are they willing to do so?
● Are people of different gender, age, schooling, occupation, socioeconomic level, abilities and health levels able
to participate?
● What is the level of technological literacy of the participants?
● Do the participants have access to technological resources for remote activities?
● What is the participants' preferred method of communication? (speaking, writing, drawing, etc.)
● Have accessibility and universal design been considered?
● Are there formal or informal local leaderships among the population that should be considered?
● Is the sociopolitical atmosphere safe for the implementation of a participatory process? Is there social unrest in
the area?
● Are there any political, social or health crises that could intervene or stop the process? (eg. pandemics, wars,
riots)
● Do the participants trust this type of process and the institutions doing them?
● Is there or could there be opposition to the implementation of this process? Who leads this opposition?
● Does the technical team have the skills and knowledge to facilitate and engage the participants?
● Are there enough resources available for the implementation of this plan?
2. Fill in the following table based on the previous answers
Risk Identified
What is the existing or
potential risk for the
execution and success of
this plan?
Mitigation Strategy
How can this risk be
tackled through the plan
itself?
Resources needed
Are any additional resources
needed for the execution of
the mitigation strategy?
(materials, funds, personnel,
etc.)
Activities impacted
Which activities within this
plan are directly impacted by
this risk and its mitigation
strategy? Does the activity
reflect this?
T14 Desk and Field Research - Data Checklist Instructions
Description [1]TypeGeometryTips
Check [2]
SourceDateCommentsTutorial linksProjects
This spreadsheet contains a list of information and data in different formats that can be collected for the analysis and diagnosis.
The aim is to use it as a working tool to monitor the data already collected, their names, sources, etc.
1. Review the
rows and select those datasets that are relevant to collect for the context in which the plan is made.
2. As the information/data has been collected, mark the columns: status, file name, source, year, link and coordinate system. This table will serve as a repository for all data used in the project.
ItemThemeData list
(information needed)
(shapefile,
raster, table)
(polygon, line,
point)
(Where to find
data)
Final Source
(Name of
Institution)
[3]
(Global source)(year)
(internal comments for the
technical team)
(support open source
videos for the
technical team)
(internal projects that
can be used as
examples)
Historical urban
growth
metropolitanshapefilepolygon
municipalshapefilepolygon
political borders
and boundaries
continentalshapefilepolygonDIVA-GIS/ HDX
nationalshapefilepolygonDIVA-GIS/ HDX
regionalshapefilepolygonDIVA-GIS/ HDX
provincialshapefilepolygonDIVA-GIS
metropolitanshapefilepolygonDIVA-GIS
municipalshape
filepolygon
municipalities/
land offices
cantonalshapefilepolygon
municipalities/
land offices
marine boundariesshapefilepolygonEEZ2022Go Blue
urban division
districtsshapefilepolygon
municipalities/
land offices
sectorsshapefilepolygon
municipalities/
land offices
coloniesshapefilepolygon
municipalities/
land offices
blocksshapefilepolygon
municipalities/
land offices
plotsshapefilepolygon
municipalities/
land offices
political
organization
jurisdictionstable / shapepolygon
assembliestable-
advisory and director
boardstable-
regulatory
framework
General Law on
Human Settlements, Land Use Planning and Urban Development
pdf-
Activity 2 Review of legal framework
General Law on
Mobility and Road Safety
pdf-
General Law on
Human Settlements, Land Use Planning and Urban Development (Municipal)
pdf-
planning framework
Sustainable Urban Development Plan
pdf-
Municipal Development Plan
pdf-
Climate Action Planpdf-
Indicators 2030pdf-
Risk Atlaspdf-
0History
1Governance
Boundary data
OpenStreetMap
OpenStreetMap
OpenStreetMap
OpenStreetMap
Marine boundaries
✓
✓
✓
✓
✓
✗ T1 (nYironPental and 6ocial 6creeninJ 5eport TePplate
,quivalent to U5/abitat?s ,:: *ategory ,.
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
? Applies for: Total score is lower
[ler erh rs P[iT ^eZ ZJsYih
^P[l
? Activities to consider in the
workplan and budget :
+i]iSstTir[ 0TteJ[ TSer +0T-
,quivalent to U5/abitat?s ,:: *ategory +1.
X 0eGium or hiJh risk
? Applies for: ;s[eS ZJsYi PZ eIs]i
erh er` P[iT ^eZ ZJsYih ^P[l
? Activities to consider in the
workplan and budget ! :JstPrk
9itsY[ erh ,r]PYsrTir[eS erh :sJPeS
(J[Psr TSer ,:(T- ,quivalent to U5/abitat?s ,:: *ategory *.
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of
a humanitarian action.
? Activities to consider in the workplan and budget : If time
eSSs^Z tYiteYi e +i]iSstTir[ 0TteJ[ TSer +0T- ,eJl [PTi [li
ZP[\e[Psr JlerkiZ Yi[eRi [li :JYiirPrk 9itsY[
,quivalent to U5/abitat?s ,:: *ategory ,.
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
? Applies for: projects with limited
physical interventions or total
ZJsYi PZ Ss^iY [ler 4 erh rs P[iT
^eZ ZJsYih ^P[l
? Activities to consider in the
workplan and budget: :JstPrk
9itsY[ erh ,r]PYsrTir[eS erh
:sJPeS (J[Psr TSer ,:(T-
,quivalent to U5/abitat?s ,:: *ategory *
and )2.
X 0eGium or hiJh risk
? Applies for:
? Activities to consider in the
workplan and budget ! :JstPrk
9itsY[ erh ,r]PYsrTir[eS erh :sJPeS
0TteJ[ (ZZiZZTir[ 9itsY[ ,:0(- ,quivalent to U5/abitat?s ,:: *ategory ( )1
and )2..
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian
action.
? Activities to consider in the workplan and budget :
,r]PYsrTir[eS erh :sJPeS (J[Psr TSer ,eJl [PTi [li ZP[\e[Psr
JlerkiZ Yi[eRi [li :JYiirPrk 9itsY[
,quivalent to U5/abitat?s ,:: *ategory ,.

202. T14 Desk and Field Research - Data Checklist Instructions
Description [1]TypeGeometryTips
Check [2]
SourceDateCommentsTutorial linksProjects
This spreadsheet contains a list of information and data in different formats that can be collected for the analysis and diagnosis.
The aim is to use it as a working tool to monitor the data already collected, their names, sources, etc.
1. Review the
rows and select those datasets that are relevant to collect for the context in which the plan is made.
2. As the information/data has been collected, mark the columns: status, file name, source, year, link and coordinate system. This table will serve as a repository for all data used in the project.
ItemThemeData list
(information needed)
(shapefile,
raster, table)
(polygon, line,
point)
(Where to find
data)
Final Source
(Name of
Institution)
[3]
(Global source)(year)
(internal comments for the
technical team)
(support open source
videos for the
technical team)
(internal projects that
can be used as
examples)
Water
water bodies
oceansshapefilepolygonOSM (NDWI)
Where there is no data, a
remote sensing water
analysis can be done
NDWI -on raster data to
identify water features
Adaptation fund
(Ghana and Ivory
Cost)
lakesshapefilepolygonOSM (NDWI)
Where there is no data, a
remote sensing water
analysis can be done
NDWI -on raster data to
identify water features
Adaptation fund
(Ghana and Ivory
Cost)
pondsshapefilepolygonOSM (NDWI)
Where there is no data, a
remote sensing water
analysis can be done
NDWI -on raster data to
iden
tify water features
Adaptation fund (Ghana and Ivory
Cost)
riversshapefilelinesOSM (NDWI)
Where there is no data, a
remote sensing water
analysis can be done NDWI -on raster data to
identify water features
Adaptation fund (Ghana and Ivory
Cost)
streamsshapefilelinesOSM (NDWI)
Where there is no data, a
remote sensing water
analysis can be done NDWI -on raster data to
identify water features
Adaptation fund (Ghana and Ivory
Cost)
canalsshapefilelinesOSM (NDWI)
Where there is no data, a
remote sensing water
analysis can be do
ne
NDWI -on raster data to
identify water features
Adaptation fund (Ghana and Ivory
Cost)
Ground
water/Aquifers
groundwater levelshapefilepolygonOSMGo Blue
aquifersshapefilepointsOSMGo Blue
wellsshapefilepointsOSMGo Blue
watersheds and
basins
macro-basinsshapefilepolygon
,
Areas with gaps data can
be computed by running
an analysis of Digital Elevation Model (DEM)/SRTM raster
micro-basinsshapefilepolygon
,
Areas with gaps data can
be computed by running
an analysis of Digital Elevation Model (DEM)/SR
TM raster
tributariesshapefilepolygon
UN Global Compact
Global Surface Water
ExplorerLandsat NDWI
Global Surface Water
ExplorerLandsat NDWI
Global Surface Water
ExplorerLandsat NDWI
Global Surface Water
ExplorerLandsat NDWI
Global Surface Water
ExplorerLandsat NDWI
Global Surface Water
ExplorerLandsat NDWI
Global Groundwater
Information System
Global Groundwater
Information System
Global Groundwater
Information System
Watershed
downloadRiver
Basins - UN Global
Impact
Watershed
downloadRiver
Basins - UN Global
Impact
Wate
r basins
Water basins T1 (nYirRnPental and 6Rcial 6creeninJ ReSRrt TePSlate
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
? Applies for: Total score is lower
[OHUHUKUVP[LT^HZZJVYLK
^P[O
? Activities to consider in the
workplan and budget :
+L]LSVWTLU[0TWHJ[7SHU+07
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` +2
X 0aGeXi kn decd neog
? Applies for: ;V[HSZJVYLPZHIV]L
HUKHU`P[LT^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
(J[PVU7SHU,:(7 Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G2
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of
a humanitarian action.
? Activities to consider in the workplan and budget : 0M[PTL
HSSV^ZWYLWHYLH+L]LSVWTLU[0TWHJ[7SHU+07,HJO[PTL[OL
ZP[\H[PVUJOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
? Applies for: projects with limited
physical interventions or total
ZJVYLPZSV^LY[OHUHUKUVP[LT
^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget: :JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK
:VJPHS(J[PVU7SHU,:(7
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G
erh )2
X 0aGeXi kn decd neog
? Applies for:
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
0TWHJ[(ZZLZZTLU[9LWVY[,:0( Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` ( )
erh )22
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian
action.
? Activities to consider in the workplan and budget :
,U]PYVUTLU[HSHUK:VJPHS(J[PVU7SHU,HJO[PTL[OLZP[\H[PVU
JOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2

203. T14 Desk and Field Research - Data Checklist Instructions
Description [1]TypeGeometryTips
Check [2]
SourceDateCommentsTutorial linksProjects
This spreadsheet contains a list of information and data in different formats that can be collected for the analysis and diagnosis.
The aim is to use it as a working tool to monitor the data already collected, their names, sources, etc.
1. Review the
rows and select those datasets that are relevant to collect for the context in which the plan is made.
2. As the information/data has been collected, mark the columns: status, file name, source, year, link and coordinate system. This table will serve as a repository for all data used in the project.
ItemThemeData list
(information needed)
(shapefile,
raster, table)
(polygon, line,
point)
(Where to find
data)
Final Source
(Name of
Institution)
[3]
(Global source)(year)
(internal comments for the
technical team)
(support open source
videos for the
technical team)
(internal projects that
can be used as
examples)
2
Natural
Environment
Ecosystems
wetland habitat
lakesshapefilepolygonOSM (NDWI)
Where there is no data, a
remote sensing wetland
analysis can be done
CMRI -on raster data to
identify water featuresConakry (SANITA)
lagoonsshapefilepolygonOSM (NDWI)
Where there is no data, a
remote sensing wetland
analysis can be done
CMRI -on raster data to
identify water featuresConakry (SANITA)
pondsshapefilepolygonOSM (NDWI)
Where there is no data, a
remote sensing wetland
analysis can be done
CMRI -on raster data to
identify water featuresConakry (SANITA)
wetlandsshapefilepolygonUSGS (CMRI)✓
Where there is no data, a
remote sensing wetland
analysis can be done CMRI -on raster data to
identify water featuresConakry (SANITA)
swampsshapefilepolygonUSGS (CMRI)
Where there is no data, a
remote sensing wetland
analysis can be done CMRI -on raster data to
identify water featuresConakry (SANITA)
marine habitat
reefsshapefilepolygon✓
Depend on mapped marine areasGo Blue
mangrovesshapefilepolygon
Depend on mapped marine areasGo Blu
e
marshesshapefilepolygon✗
Depend on mapped marine areasGo Blue
estuariesshapefilepolygon
Depend on mapped marine areasGo Blue
lagoonsshapefilepolygon
Depend on mapped marine areasGo Blue
forestsshapefilepolygonUSGS (NDVI)
,
Where there is no data, a
remote sensing analysis
can be done NDVI -on raster data to identify water
features or satellite
imagery classificationConakry (SANITA)
parksshapefilepolygonUSGS (NDVI)
,
Where there is no data, a
remote sensing analysis
can be done NDVI -on raster data to identify water
features or satellite
imagery classificationConakry (SANITA)
USGS (NWI)
Wetlands mapper
USGS (NWI)
Wetlands mapper
USGS (NWI)
Wetlands mapper
USGS (NWI)
Wetlands mapper
USGS (NWI)
Wetlands mapper
GeoPlantNet
Copernicus (NDVI)
Supervised Imagery
Classification
GeoPlantNet
Copernicus (NDVI)
Marine habitats download
Marine habitats
download
Marine habitats download
Marine habitats
download
Marine habitats download
Marine habitats
download
Marine habitats download
Marine habitats
dow
nload
Marine habitats download
Marine habitats
download T1 (nYirRnPental and 6Rcial 6creeninJ ReSRrt TePSlate
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
? Applies for: Total score is lower
[OHUHUKUVP[LT^HZZJVYLK
^P[O
? Activities to consider in the
workplan and budget :
+L]LSVWTLU[0TWHJ[7SHU+07
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` +2
X 0aGeXi kn decd neog
? Applies for: ;V[HSZJVYLPZHIV]L
HUKHU`P[LT^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
(J[PVU7SHU,:(7 Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G2
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of
a humanitarian action.
? Activities to consider in the workplan and budget : 0M[PTL
HSSV^ZWYLWHYLH+L]LSVWTLU[0TWHJ[7SHU+07,HJO[PTL[OL
ZP[\H[PVUJOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
? Applies for: projects with limited
physical interventions or total
ZJVYLPZSV^LY[OHUHUKUVP[LT
^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget: :JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK
:VJPHS(J[PVU7SHU,:(7
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G
erh )2
X 0aGeXi kn decd neog
? Applies for:
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
0TWHJ[(ZZLZZTLU[9LWVY[,:0( Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` ( )
erh )22
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian
action.
? Activities to consider in the workplan and budget :
,U]PYVUTLU[HSHUK:VJPHS(J[PVU7SHU,HJO[PTL[OLZP[\H[PVU
JOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2

204. T14 Desk and Field Research - Data Checklist Instructions
Description [1]TypeGeometryTips
Check [2]
SourceDateCommentsTutorial linksProjects
This spreadsheet contains a list of information and data in different formats that can be collected for the analysis and diagnosis.
The aim is to use it as a working tool to monitor the data already collected, their names, sources, etc.
1. Review the
rows and select those datasets that are relevant to collect for the context in which the plan is made.
2. As the information/data has been collected, mark the columns: status, file name, source, year, link and coordinate system. This table will serve as a repository for all data used in the project.
ItemThemeData list
(information needed)
(shapefile,
raster, table)
(polygon, line,
point)
(Where to find
data)
Final Source
(Name of
Institution)
[3]
(Global source)(year)
(internal comments for the
technical team)
(support open source
videos for the
technical team)
(internal projects that
can be used as
examples)
3Territory
vegetation cover
urban gardensshapefile
polygon /
pointsUSGS (NDVI)
,
Where there is no data, a
remote sensing analysis
can be done NDVI -on
raster data to identify water
features or satellite
imagery classificationConakry (SANITA)
green roofsshapefile
polygon /
pointsUSGS (NDVI)
,
Where there is no data, a
remote sensing analysis
can be done NDVI -on
raster data to identify water
features or satellite
imagery classificationConakry (SANITA)
urban treesshapefilepointsUSGS (NDVI)
,
Where there is no data,
a
remote sensing analysis
can be done NDVI -on raster data to identify water
features or satellite
imagery classificationConakry (SANITA)
bushesshapefilepointsUSGS (NDVI)
,
Where there is no data, a
remote sensing analysis
can be done NDVI -on raster data to identify water
features or satellite
imagery classificationConakry (SANITA)
soil
soil type classification and geographic
locationraster-
FAO/ SOIL
GRIDGo Blue
suitability for urban development (support)raster-
FAO/ SOIL
GRIDGo Blue
suitability for agricul
tural
development (nutrients)raster-
FAO/ SOIL
GRIDGo Blue
soil depthraster-
FAO/ SOIL
GRIDGo Blue
soil textureraster-
FAO/ SOIL
GRIDGo Blue
topography
elevation contoursshapefilelines / polygonUSGS (DEM), 2022
terrain slope (%)raster-USGS (STRM)2022
Compute from the DEM
layer
hillshaderaster-USGS (STRM)2022
Its computed by running a
hillshade analysis on the DEM layer
identification of landslide zonesraster-
GeoPlantNet
Copernicus (NDVI)
GeoPlantNet
Copernicus (NDVI)
GeoPlantNet
Coper
nicus (NDVI)
GeoPlantNet
Copernicus (NDVI)
SRTM (DEM)
DownloadGeofolio
SRTM (DEM)
Download
ArcGIS slope
analysis; QGIS Slope analysis
SRTM (DEM)
Download
ArcGIS hillshade
analysis; QGIS hillshade analysis
SoilGrid data
SoilGrid data
SoilGrid data
SoilGrid data
SoilGrid data T1 (nYirRnPental and 6Rcial 6creeninJ ReSRrt TePSlate
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
? Applies for: Total score is lower
[OHUHUKUVP[LT^HZZJVYLK
^P[O
? Activities to consider in the
workplan and budget :
+L]LSVWTLU[0TWHJ[7SHU+07
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` +2
X 0aGeXi kn decd neog
? Applies for: ;V[HSZJVYLPZHIV]L
HUKHU`P[LT^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
(J[PVU7SHU,:(7 Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G2
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of
a humanitarian action.
? Activities to consider in the workplan and budget : 0M[PTL
HSSV^ZWYLWHYLH+L]LSVWTLU[0TWHJ[7SHU+07,HJO[PTL[OL
ZP[\H[PVUJOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
? Applies for: projects with limited
physical interventions or total
ZJVYLPZSV^LY[OHUHUKUVP[LT
^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget: :JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK
:VJPHS(J[PVU7SHU,:(7
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G
erh )2
X 0aGeXi kn decd neog
? Applies for:
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
0TWHJ[(ZZLZZTLU[9LWVY[,:0( Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` ( )
erh )22
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian
action.
? Activities to consider in the workplan and budget :
,U]PYVUTLU[HSHUK:VJPHS(J[PVU7SHU,HJO[PTL[OLZP[\H[PVU
JOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2

205. T14 Desk and Field Research - Data Checklist Instructions
Description [1]TypeGeometryTips
Check [2]
SourceDateCommentsTutorial linksProjects
This spreadsheet contains a list of information and data in different formats that can be collected for the analysis and diagnosis.
The aim is to use it as a working tool to monitor the data already collected, their names, sources, etc.
1. Review the
rows and select those datasets that are relevant to collect for the context in which the plan is made.
2. As the information/data has been collected, mark the columns: status, file name, source, year, link and coordinate system. This table will serve as a repository for all data used in the project.
ItemThemeData list
(information needed)
(shapefile,
raster, table)
(polygon, line,
point)
(Where to find
data)
Final Source
(Name of
Institution)
[3]
(Global source)(year)
(internal comments for the
technical team)
(support open source
videos for the
technical team)
(internal projects that
can be used as
examples)
bathymetryraster-
total population
housing density at
city/district level
shapefile/raster
/table-
country census
bureau of
statistics
housing density at
neighbourhood/colony
level
shapefile/raster
/table-
country census
bureau of
statistics✓
housing density at
block/plot level
shapefile/raster
/table-
country census
bureau of
statistics✓
demography
age and gender
distribution at
block/plot level
shapefile/raster
/table
polygon /
points
local
government,
country census
bureau of
statistics
population with a
disability: general
| sex
and age groups |
block/lot level
shapefile/raster
/table
polygon / points
local government, country census
bureau of
statistics
distribution by social vulnerability at
block/lot level
shapefile/raster
/table
polygon / points
local government, country census
bureau of
statistics
gender distribution at block/lot level
shapefile/raster
/table
polygon / points
local government, country census
bureau of
statistics
distribution by female headship at block/lot level
shapefile/raster
/table
polygon / points
local government, count
ry census
bureau of
statistics
immigration
distribution block / lot level
shapefile/raster
/table
polygon / points
local government, country census
bureau of
statistics
distribution by ethnicity block / lot level
shapefile/raster
/table
polygon / points
local government, country census
bureau of
statistics
health
infant mortality ratetable-
population with health insurance (%)table-
Population Dynamics
(US)
Population Dynamics
(US)
Population Dynamics
(US)
GNHA Six
Dimensions
GNHA Six
Dimensions T1 (nYirRnPental and 6Rcial 6creeninJ ReSRrt TePSlate
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
? Applies for: Total score is lower
[OHUHUKUVP[LT^HZZJVYLK
^P[O
? Activities to consider in the
workplan and budget :
+L]LSVWTLU[0TWHJ[7SHU+07
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` +2
X 0aGeXi kn decd neog
? Applies for: ;V[HSZJVYLPZHIV]L
HUKHU`P[LT^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
(J[PVU7SHU,:(7 Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G2
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of
a humanitarian action.
? Activities to consider in the workplan and budget : 0M[PTL
HSSV^ZWYLWHYLH+L]LSVWTLU[0TWHJ[7SHU+07,HJO[PTL[OL
ZP[\H[PVUJOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
? Applies for: projects with limited
physical interventions or total
ZJVYLPZSV^LY[OHUHUKUVP[LT
^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget: :JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK
:VJPHS(J[PVU7SHU,:(7
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G
erh )2
X 0aGeXi kn decd neog
? Applies for:
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
0TWHJ[(ZZLZZTLU[9LWVY[,:0( Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` ( )
erh )22
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian
action.
? Activities to consider in the workplan and budget :
,U]PYVUTLU[HSHUK:VJPHS(J[PVU7SHU,HJO[PTL[OLZP[\H[PVU
JOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2

206. T14 Desk and Field Research - Data Checklist Instructions
Description [1]TypeGeometryTips
Check [2]
SourceDateCommentsTutorial linksProjects
This spreadsheet contains a list of information and data in different formats that can be collected for the analysis and diagnosis.
The aim is to use it as a working tool to monitor the data already collected, their names, sources, etc.
1. Review the
rows and select those datasets that are relevant to collect for the context in which the plan is made.
2. As the information/data has been collected, mark the columns: status, file name, source, year, link and coordinate system. This table will serve as a repository for all data used in the project.
ItemThemeData list
(information needed)
(shapefile,
raster, table)
(polygon, line,
point)
(Where to find
data)
Final Source
(Name of
Institution)
[3]
(Global source)(year)
(internal comments for the
technical team)
(support open source
videos for the
technical team)
(internal projects that
can be used as
examples)
4Population and demography
acces s to sanitary
facilitiestable / raster-
economy
per capita/ per
household income at
city/district level
shapefile/raster
/table
polygon /
points
local
government,
country census
bureau of
statistics
Socio-economic analysis is
often used to complement
data where gaps exist
per capita/ per
household income at
neighbourhood/colony
level
shapefile/raster
/table
polygon /
points
local
government,
country census
bureau of
statistics
Socio-economic analysis is
often used to complement
data where gaps exist
per capi
ta/ per
household income at block/plot level
shapefile/raster
/table
polygon / points
local government, country census
bureau of
statistics
Socio-economic analysis is often used to complement
data where gaps exist
people employed formally and informally (%)
shapefile/raster
/table
polygon / points
local government, country census
bureau of
statistics
Socio-economic analysis is often used to complement
data where gaps exist
economic activity and employment
shapefile/raster
/table
polygon / points
local government, country census
bureau of
s
tatistics
economic activity and schooling
shapefile/raster
/table
polygon / points
local government, country census
bureau of
statistics
non-economic activity
shapefile/raster
/table
polygon / points
local government, country census
bureau of
statistics
population actively working (%)
shapefile/raster
/table
polygon / points
local government, country census
bureau of
statistics
Socio-economic analysis is often used to complement
data where gaps exist
household savings capacity
shapefile/raster
/table
polygon / points
local government, count
ry census
bureau of
statistics
Socio-economic analysis is often used to complement
data where gaps exist
public spending
shapefile/raster
/table
polygon / points✓
per capita spending
shapefile/raster
/table
polygon / points
✓
GNHA Six
Dimensions
Metroverse
Metroverse
Metroverse
Metroverse
Metroverse
Metroverse
Metroverse
Metroverse T1 (nYirRnPental and 6Rcial 6creeninJ ReSRrt TePSlate
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
? Applies for: Total score is lower
[OHUHUKUVP[LT^HZZJVYLK
^P[O
? Activities to consider in the
workplan and budget :
+L]LSVWTLU[0TWHJ[7SHU+07
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` +2
X 0aGeXi kn decd neog
? Applies for: ;V[HSZJVYLPZHIV]L
HUKHU`P[LT^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
(J[PVU7SHU,:(7 Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G2
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of
a humanitarian action.
? Activities to consider in the workplan and budget : 0M[PTL
HSSV^ZWYLWHYLH+L]LSVWTLU[0TWHJ[7SHU+07,HJO[PTL[OL
ZP[\H[PVUJOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
? Applies for: projects with limited
physical interventions or total
ZJVYLPZSV^LY[OHUHUKUVP[LT
^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget: :JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK
:VJPHS(J[PVU7SHU,:(7
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G
erh )2
X 0aGeXi kn decd neog
? Applies for:
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
0TWHJ[(ZZLZZTLU[9LWVY[,:0( Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` ( )
erh )22
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian
action.
? Activities to consider in the workplan and budget :
,U]PYVUTLU[HSHUK:VJPHS(J[PVU7SHU,HJO[PTL[OLZP[\H[PVU
JOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2

207. T14 Desk and Field Research - Data Checklist Instructions
Description [1]TypeGeometryTips
Check [2]
SourceDateCommentsTutorial linksProjects
This spreadsheet contains a list of information and data in different formats that can be collected for the analysis and diagnosis.
The aim is to use it as a working tool to monitor the data already collected, their names, sources, etc.
1. Review the
rows and select those datasets that are relevant to collect for the context in which the plan is made.
2. As the information/data has been collected, mark the columns: status, file name, source, year, link and coordinate system. This table will serve as a repository for all data used in the project.
ItemThemeData list
(information needed)
(shapefile,
raster, table)
(polygon, line,
point)
(Where to find
data)
Final Source
(Name of
Institution)
[3]
(Global source)(year)
(internal comments for the
technical team)
(support open source
videos for the
technical team)
(internal projects that
can be used as
examples)
education
education level per
household / per
colonia / AGEBtable / raster
polygon /
points
adult literacy ratetable
polygon /
points
literacytable
polygon /
points
child school dropout
rates per household /
per colonia / AGEBtable
polygon /
points
informal
settlements
geographic location
and boundariesshapefilepolygon
local
governments,
country census
bureau of
statistics
Participatory mapping
supports identififcation of
some informal areas
total area (km2)table-
local
governments,
country census
bureau of
statistics
Par
ticipatory mapping
supports identififcation of
some informal areas
population sizetable-
local governments, country census
bureau of
statistics
Participatory mapping
supports identififcation of
some informal areas
migration
migrant population
size and
demographics
The migration factors,
numbers of the population and ethcicity of the immigrantstable-
local governments, country census
bureau of
statistics
areas of high migration
pressureraster-
local governments, country census
bureau of
statistics
main migrant
neighborh
oodsshapefilepolygon
local governments, country census
bureau of
statistics
main place of origintable-
local governments, country census
bureau of
statistics
actual built-up area
extracted from satellite
imageryshapefilepolygonHDX/OSM2020
The Atlas of
Informality
The Atlas of
Informality
The Atlas of
Informality
Building footprint T1 (nYirRnPental and 6Rcial 6creeninJ ReSRrt TePSlate
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
? Applies for: Total score is lower
[OHUHUKUVP[LT^HZZJVYLK
^P[O
? Activities to consider in the
workplan and budget :
+L]LSVWTLU[0TWHJ[7SHU+07
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` +2
X 0aGeXi kn decd neog
? Applies for: ;V[HSZJVYLPZHIV]L
HUKHU`P[LT^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
(J[PVU7SHU,:(7 Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G2
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of
a humanitarian action.
? Activities to consider in the workplan and budget : 0M[PTL
HSSV^ZWYLWHYLH+L]LSVWTLU[0TWHJ[7SHU+07,HJO[PTL[OL
ZP[\H[PVUJOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
? Applies for: projects with limited
physical interventions or total
ZJVYLPZSV^LY[OHUHUKUVP[LT
^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget: :JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK
:VJPHS(J[PVU7SHU,:(7
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G
erh )2
X 0aGeXi kn decd neog
? Applies for:
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
0TWHJ[(ZZLZZTLU[9LWVY[,:0( Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` ( )
erh )22
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian
action.
? Activities to consider in the workplan and budget :
,U]PYVUTLU[HSHUK:VJPHS(J[PVU7SHU,HJO[PTL[OLZP[\H[PVU
JOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2

208. T14 Desk and Field Research - Data Checklist Instructions
Description [1]TypeGeometryTips
Check [2]
SourceDateCommentsTutorial linksProjects
This spreadsheet contains a list of information and data in different formats that can be collected for the analysis and diagnosis.
The aim is to use it as a working tool to monitor the data already collected, their names, sources, etc.
1. Review the
rows and select those datasets that are relevant to collect for the context in which the plan is made.
2. As the information/data has been collected, mark the columns: status, file name, source, year, link and coordinate system. This table will serve as a repository for all data used in the project.
ItemThemeData list
(information needed)
(shapefile,
raster, table)
(polygon, line,
point)
(Where to find
data)
Final Source
(Name of
Institution)
[3]
(Global source)(year)
(internal comments for the
technical team)
(support open source
videos for the
technical team)
(internal projects that
can be used as
examples)
built-up area
built-up area of 3
different years
extracted from
imageryshapefilepolygon
GHS/ Global
Land Cover/
USGSSatellite imagery analysis
Mozambique,
Conakry
comparative building
heightsraster-
changes in
construction
parameterstable-
areas of major vertical
growthraster-
patrimony
archeological sitesshapefile
polygon /
points
government -
maps from
documents
Socioeconomic survey wiill
update the data on local
heritage sitesGuinea Bissau
buildings with
historical valueshapefile
polygon /
points
government -
maps from
do
cuments
Socioeconomic survey wiill
update the data on local
heritage sitesGuinea Bissau
local landmarksshapefile
polygon / points
collaborative
mapping
commercial
marketsshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
shopping mallsshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
supermarketsshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
local storesshapefilepoint
sOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
services
restaurantsshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
financial institutionsshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
leisure and cultureshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
tourist sitesshapefile
polygon / points
UNESCO
UNESCO T1 (nYirRnPental and 6Rcial 6creeninJ ReSRrt TePSlate
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
? Applies for: Total score is lower
[OHUHUKUVP[LT^HZZJVYLK
^P[O
? Activities to consider in the
workplan and budget :
+L]LSVWTLU[0TWHJ[7SHU+07
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` +2
X 0aGeXi kn decd neog
? Applies for: ;V[HSZJVYLPZHIV]L
HUKHU`P[LT^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
(J[PVU7SHU,:(7 Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G2
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of
a humanitarian action.
? Activities to consider in the workplan and budget : 0M[PTL
HSSV^ZWYLWHYLH+L]LSVWTLU[0TWHJ[7SHU+07,HJO[PTL[OL
ZP[\H[PVUJOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
? Applies for: projects with limited
physical interventions or total
ZJVYLPZSV^LY[OHUHUKUVP[LT
^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget: :JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK
:VJPHS(J[PVU7SHU,:(7
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G
erh )2
X 0aGeXi kn decd neog
? Applies for:
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
0TWHJ[(ZZLZZTLU[9LWVY[,:0( Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` ( )
erh )22
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian
action.
? Activities to consider in the workplan and budget :
,U]PYVUTLU[HSHUK:VJPHS(J[PVU7SHU,HJO[PTL[OLZP[\H[PVU
JOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2

209. T14 Desk and Field Research - Data Checklist Instructions
Description [1]TypeGeometryTips
Check [2]
SourceDateCommentsTutorial linksProjects
This spreadsheet contains a list of information and data in different formats that can be collected for the analysis and diagnosis.
The aim is to use it as a working tool to monitor the data already collected, their names, sources, etc.
1. Review the
rows and select those datasets that are relevant to collect for the context in which the plan is made.
2. As the information/data has been collected, mark the columns: status, file name, source, year, link and coordinate system. This table will serve as a repository for all data used in the project.
ItemThemeData list
(information needed)
(shapefile,
raster, table)
(polygon, line,
point)
(Where to find
data)
Final Source
(Name of
Institution)
[3]
(Global source)(year)
(internal comments for the
technical team)
(support open source
videos for the
technical team)
(internal projects that
can be used as
examples)
5Land use (zoning)
turism
open spaces with
historical valueshapefile
polygon /
points
places of interestraster
polygon /
points
residential
multi-unit housing
complexraster-OSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
multi-unit buildingraster-OSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
single-unit houseraster-OSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
student / senior
residences
shapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
temporary lodging /
hotelsshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
educational
universitiesshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
institutesshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
technical schoolsshapefilepointsOSM
Base data can be fr
om
existing plans within the
municipalities/towns/urban
reas
collegesshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
schoolsshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
kindergartensshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas T1 (nYirRnPental and 6Rcial 6creeninJ ReSRrt TePSlate
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
? Applies for: Total score is lower
[OHUHUKUVP[LT^HZZJVYLK
^P[O
? Activities to consider in the
workplan and budget :
+L]LSVWTLU[0TWHJ[7SHU+07
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` +2
X 0aGeXi kn decd neog
? Applies for: ;V[HSZJVYLPZHIV]L
HUKHU`P[LT^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
(J[PVU7SHU,:(7 Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G2
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of
a humanitarian action.
? Activities to consider in the workplan and budget : 0M[PTL
HSSV^ZWYLWHYLH+L]LSVWTLU[0TWHJ[7SHU+07,HJO[PTL[OL
ZP[\H[PVUJOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
? Applies for: projects with limited
physical interventions or total
ZJVYLPZSV^LY[OHUHUKUVP[LT
^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget: :JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK
:VJPHS(J[PVU7SHU,:(7
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G
erh )2
X 0aGeXi kn decd neog
? Applies for:
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
0TWHJ[(ZZLZZTLU[9LWVY[,:0( Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` ( )
erh )22
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian
action.
? Activities to consider in the workplan and budget :
,U]PYVUTLU[HSHUK:VJPHS(J[PVU7SHU,HJO[PTL[OLZP[\H[PVU
JOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2

210. T14 Desk and Field Research - Data Checklist Instructions
Description [1]TypeGeometryTips
Check [2]
SourceDateCommentsTutorial linksProjects
This spreadsheet contains a list of information and data in different formats that can be collected for the analysis and diagnosis.
The aim is to use it as a working tool to monitor the data already collected, their names, sources, etc.
1. Review the
rows and select those datasets that are relevant to collect for the context in which the plan is made.
2. As the information/data has been collected, mark the columns: status, file name, source, year, link and coordinate system. This table will serve as a repository for all data used in the project.
ItemThemeData list
(information needed)
(shapefile,
raster, table)
(polygon, line,
point)
(Where to find
data)
Final Source
(Name of
Institution)
[3]
(Global source)(year)
(internal comments for the
technical team)
(support open source
videos for the
technical team)
(internal projects that
can be used as
examples)
industry
factoriesshapefile
polygon /
pointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
warehousesshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
workshopsshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
health
hospitalsshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
clinicsshapefilepointsOSM
Base data can be from
ex
isting plans within the
municipalities/towns/urban
reas
health centersshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
publicspaces
squaresshapefile
polygon / pointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
plazuelasshapefile
polygon / pointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
metropolitan parksshapefile
polygon / pointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
riverside parksshapefilepolygonOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
district parksshapefile
pol
ygon /
pointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
gardensshapefile
polygon / pointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
OpenStreetMap
OpenStreetMap
OpenStreetMap
OpenStreetMap
OpenStreetMap
OpenStreetMap T1 (nYirRnPental and 6Rcial 6creeninJ ReSRrt TePSlate
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
? Applies for: Total score is lower
[OHUHUKUVP[LT^HZZJVYLK
^P[O
? Activities to consider in the
workplan and budget :
+L]LSVWTLU[0TWHJ[7SHU+07
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` +2
X 0aGeXi kn decd neog
? Applies for: ;V[HSZJVYLPZHIV]L
HUKHU`P[LT^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
(J[PVU7SHU,:(7 Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G2
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of
a humanitarian action.
? Activities to consider in the workplan and budget : 0M[PTL
HSSV^ZWYLWHYLH+L]LSVWTLU[0TWHJ[7SHU+07,HJO[PTL[OL
ZP[\H[PVUJOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
? Applies for: projects with limited
physical interventions or total
ZJVYLPZSV^LY[OHUHUKUVP[LT
^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget: :JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK
:VJPHS(J[PVU7SHU,:(7
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G
erh )2
X 0aGeXi kn decd neog
? Applies for:
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
0TWHJ[(ZZLZZTLU[9LWVY[,:0( Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` ( )
erh )22
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian
action.
? Activities to consider in the workplan and budget :
,U]PYVUTLU[HSHUK:VJPHS(J[PVU7SHU,HJO[PTL[OLZP[\H[PVU
JOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2

211. T14 Desk and Field Research - Data Checklist Instructions
Description [1]TypeGeometryTips
Check [2]
SourceDateCommentsTutorial linksProjects
This spreadsheet contains a list of information and data in different formats that can be collected for the analysis and diagnosis.
The aim is to use it as a working tool to monitor the data already collected, their names, sources, etc.
1. Review the
rows and select those datasets that are relevant to collect for the context in which the plan is made.
2. As the information/data has been collected, mark the columns: status, file name, source, year, link and coordinate system. This table will serve as a repository for all data used in the project.
ItemThemeData list
(information needed)
(shapefile,
raster, table)
(polygon, line,
point)
(Where to find
data)
Final Source
(Name of
Institution)
[3]
(Global source)(year)
(internal comments for the
technical team)
(support open source
videos for the
technical team)
(internal projects that
can be used as
examples)
public spaces
recreational spacesshapefile
polygon /
pointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
open sports
infrastructureshapefile
polygon /
pointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
children playgroundsshapefile
polygon /
pointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
parkletsshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
benches/
tablesshapefilepointsOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
beachesshapefilepolygonOSM
Base data can be from
existing plans within the
municipalities/towns/urban
reas
economic entities
main business by sectortable-government✓
economic clusters or
concentrationsgovernment✓
number of employeestable-government
influence arearaster-government✓
productive areas
agricultural areas and
geographic
delimitationshapefilepolygon
,
livestock areas and
geographic
delimitationshapefilepolygon
aqu
aculture areas and
geographic
delimitationshapefilepolygon
forest production
areas and geographic
delimitationshapefilepolygon
,
mining areasshapefilepolygon
,
national parksshapefilepolygon
Data is best collaborated
witho what the county/city has on its reserves, as
some local reserves are
not openly available.Go Blue
OpenStreetMap
OpenStreetMap
OpenStreetMap
OpenStreetMap
OpenStreetMap
OpenStreetMap
GeofolioCopernicus
Global Land Cover
Viewer
Copernicus Global
Land Cover Viewer
Copernicus Global
Land Cover Viewer
GeofolioCopernicu
s
Global Land Cover
Viewer
GeofolioCopernicus
Global Land Cover
Viewer
Regional categorised
data (IUCN Protected
Planet) T1 (nYirRnPental and 6Rcial 6creeninJ ReSRrt TePSlate
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
? Applies for: Total score is lower
[OHUHUKUVP[LT^HZZJVYLK
^P[O
? Activities to consider in the
workplan and budget :
+L]LSVWTLU[0TWHJ[7SHU+07
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` +2
X 0aGeXi kn decd neog
? Applies for: ;V[HSZJVYLPZHIV]L
HUKHU`P[LT^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
(J[PVU7SHU,:(7 Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G2
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of
a humanitarian action.
? Activities to consider in the workplan and budget : 0M[PTL
HSSV^ZWYLWHYLH+L]LSVWTLU[0TWHJ[7SHU+07,HJO[PTL[OL
ZP[\H[PVUJOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
? Applies for: projects with limited
physical interventions or total
ZJVYLPZSV^LY[OHUHUKUVP[LT
^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget: :JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK
:VJPHS(J[PVU7SHU,:(7
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G
erh )2
X 0aGeXi kn decd neog
? Applies for:
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
0TWHJ[(ZZLZZTLU[9LWVY[,:0( Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` ( )
erh )22
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian
action.
? Activities to consider in the workplan and budget :
,U]PYVUTLU[HSHUK:VJPHS(J[PVU7SHU,HJO[PTL[OLZP[\H[PVU
JOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2

212. T14 Desk and Field Research - Data Checklist Instructions
Description [1]TypeGeometryTips
Check [2]
SourceDateCommentsTutorial linksProjects
This spreadsheet contains a list of information and data in different formats that can be collected for the analysis and diagnosis.
The aim is to use it as a working tool to monitor the data already collected, their names, sources, etc.
1. Review the
rows and select those datasets that are relevant to collect for the context in which the plan is made.
2. As the information/data has been collected, mark the columns: status, file name, source, year, link and coordinate system. This table will serve as a repository for all data used in the project.
ItemThemeData list
(information needed)
(shapefile,
raster, table)
(polygon, line,
point)
(Where to find
data)
Final Source
(Name of
Institution)
[3]
(Global source)(year)
(internal comments for the
technical team)
(support open source
videos for the
technical team)
(internal projects that
can be used as
examples)
6Land coverage
protected and
reserved areas
reserves/ natural
sanctuaryshapefilepolygon✗
Data is best collaborated
witho what the county/city
has on its reserves, as
some local reserves are
not openly available.Go Blue
marine reserveshapefilepolygon
Data is best collaborated
witho what the county/city
has on its reserves, as
some local reserves are
not openly available.Go Blue
conservation
concessionsshapefilepolygon
Data is best collaborated
witho what the county/city
has on its reserves, as
some local reserves are
not openly avail
able.Go Blue
protected forestsshapefilepolygon
Data is best collaborated
witho what the county/city has on its reserves, as
some local reserves are
not openly available.Go Blue
Indigenous Protected
and Conserved Areasshapefilepolygon
Data is best collaborated
witho what the county/city has on its reserves, as
some local reserves are
not openly available.Go Blue
Reserve zonesshapefilepolygon
Data is best collaborated
witho what the county/city has on its reserves, as
some local reserves are
not openly available.Go Blue
biolo
gical corridorsshapefilepolygon
Data is best collaborated
witho what the county/city has on its reserves, as
some local reserves are
not openly available.Go Blue
wildlife refugeshapefilepolygon
Data is best collaborated
witho what the county/city has on its reserves, as
some local reserves are
not openly available.Go Blue
protected landscape
areasshapefilepolygon
Data is best collaborated
witho what the county/city has on its reserves, as
some local reserves are
not openly available.Go Blue
motorized transport
network
natio
nal roadsshapefilelinesOSM
metropolitan roadsshapefilelinesOSM
streets and avenuesshapefilelinesOSM
non motorized
transportnetwork
sidewalks and pedestrian areasshapefilelinesOSM
Regional categorised
data (IUCN Protected
Planet)
Regional categorised
data (IUCN Protected
Planet)
Regional categorised
data (IUCN Protected
Planet)
Regional categorised
data (IUCN Protected
Planet)
Regional categorised
data (IUCN Protected
Planet)
Regional categorised
data (IUCN Protected
Planet)
Regional categorised
data (IUCN Protected
Planet)
Regional categorised
data (IUCN Protec
ted
Planet)
Regional categorised
data (IUCN Protected
Planet)
OpenStreetMap
OpenStreetMap
OpenStreetMap T1 (nYirRnPental and 6Rcial 6creeninJ ReSRrt TePSlate
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
? Applies for: Total score is lower
[OHUHUKUVP[LT^HZZJVYLK
^P[O
? Activities to consider in the
workplan and budget :
+L]LSVWTLU[0TWHJ[7SHU+07
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` +2
X 0aGeXi kn decd neog
? Applies for: ;V[HSZJVYLPZHIV]L
HUKHU`P[LT^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
(J[PVU7SHU,:(7 Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G2
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of
a humanitarian action.
? Activities to consider in the workplan and budget : 0M[PTL
HSSV^ZWYLWHYLH+L]LSVWTLU[0TWHJ[7SHU+07,HJO[PTL[OL
ZP[\H[PVUJOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
? Applies for: projects with limited
physical interventions or total
ZJVYLPZSV^LY[OHUHUKUVP[LT
^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget: :JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK
:VJPHS(J[PVU7SHU,:(7
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G
erh )2
X 0aGeXi kn decd neog
? Applies for:
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
0TWHJ[(ZZLZZTLU[9LWVY[,:0( Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` ( )
erh )22
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian
action.
? Activities to consider in the workplan and budget :
,U]PYVUTLU[HSHUK:VJPHS(J[PVU7SHU,HJO[PTL[OLZP[\H[PVU
JOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2

213. T1 (nYirRnPental and 6Rcial 6creeninJ ReSRrt TePSlate
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
? Applies for: Total score is lower
[OHUHUKUVP[LT^HZZJVYLK
^P[O
? Activities to consider in the
workplan and budget :
+L]LSVWTLU[0TWHJ[7SHU+07
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` +2
X 0aGeXi kn decd neog
? Applies for: ;V[HSZJVYLPZHIV]L
HUKHU`P[LT^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
(J[PVU7SHU,:(7 Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G2
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of
a humanitarian action.
? Activities to consider in the workplan and budget : 0M[PTL
HSSV^ZWYLWHYLH+L]LSVWTLU[0TWHJ[7SHU+07,HJO[PTL[OL
ZP[\H[PVUJOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
? Applies for: projects with limited
physical interventions or total
ZJVYLPZSV^LY[OHUHUKUVP[LT
^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget: :JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK
:VJPHS(J[PVU7SHU,:(7
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G
erh )2
X 0aGeXi kn decd neog
? Applies for:
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
0TWHJ[(ZZLZZTLU[9LWVY[,:0( Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` ( )
erh )22
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian
action.
? Activities to consider in the workplan and budget :
,U]PYVUTLU[HSHUK:VJPHS(J[PVU7SHU,HJO[PTL[OLZP[\H[PVU
JOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2 T14 Desk and Field Research - Data Checklist Instructions
Description [1]TypeGeometryTips
Check [2]
SourceDateCommentsTutorial linksProjects
This spreadsheet contains a list of information and data in different formats that can be collected for the analysis and diagnosis.
The aim is to use it as a working tool to monitor the data already collected, their names, sources, etc.
1. Review the
rows and select those datasets that are relevant to collect for the context in which the plan is made.
2. As the information/data has been collected, mark the columns: status, file name, source, year, link and coordinate system. This table will serve as a repository for all data used in the project.
ItemThemeData list
(information needed)
(shapefile,
raster, table)
(polygon, line,
point)
(Where to find
data)
Final Source
(Name of
Institution)
[3]
(Global source)(year)
(internal comments for the
technical team)
(support open source
videos for the
technical team)
(internal projects that
can be used as
examples)
7Mobility
8Housing
transport network
bike lanes systemshapefilelinesOSM
transport facilities
transport nodes /
clustersshapefile
polygon /
points
local
government
infrastructure
according to
national/metropolitan/
zonal scaleshapefile
polygon /
points
local
government
portsshapefilepolygon
local
government
airportsshapefilepolygon
local
government
train stationsshapefile
polygon /
points
local
government
bus stationsshapefilepoints
local
government
subway stationsshapefilepoints
local
government
transport services
main routes per
systemshapefilelines
lo
cal
government
interconnection of
transport networksraster-
local government
percentage of
population using public vs. private
transportationtable-
local government
acces sibilitytable / raster-
local government
density
number of inhabitants per housing unit
shapefile/raster
/table
polygon / points
inhabitants per m2 of housing unit
shapefile/raster
/table
polygon / points
number of rooms
shapefile/raster
/table
polygon / points
state
age
shapefile/raster
/table
polygon / points
state of conservation
shapefile/raster
/table
po
lygon /
points
level of precar iousness
shapefile/raster
/table
polygon / points
type of floor
shapefile/raster
/table
polygon / points
services and goods
electricity
shapefile/raster
/table
polygon / points
water and sanitation
shapefile/raster
/table
polygon / points
goods and ICTs
shapefile/raster
/table
polygon / points

214. T1 (nYirRnPental and 6Rcial 6creeninJ ReSRrt TePSlate
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
? Applies for: Total score is lower
[OHUHUKUVP[LT^HZZJVYLK
^P[O
? Activities to consider in the
workplan and budget :
+L]LSVWTLU[0TWHJ[7SHU+07
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` +2
X 0aGeXi kn decd neog
? Applies for: ;V[HSZJVYLPZHIV]L
HUKHU`P[LT^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
(J[PVU7SHU,:(7 Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G2
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of
a humanitarian action.
? Activities to consider in the workplan and budget : 0M[PTL
HSSV^ZWYLWHYLH+L]LSVWTLU[0TWHJ[7SHU+07,HJO[PTL[OL
ZP[\H[PVUJOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
? Applies for: projects with limited
physical interventions or total
ZJVYLPZSV^LY[OHUHUKUVP[LT
^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget: :JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK
:VJPHS(J[PVU7SHU,:(7
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G
erh )2
X 0aGeXi kn decd neog
? Applies for:
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
0TWHJ[(ZZLZZTLU[9LWVY[,:0( Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` ( )
erh )22
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian
action.
? Activities to consider in the workplan and budget :
,U]PYVUTLU[HSHUK:VJPHS(J[PVU7SHU,HJO[PTL[OLZP[\H[PVU
JOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2 T14 Desk and Field Research - Data Checklist Instructions
Description [1]TypeGeometryTips
Check [2]
SourceDateCommentsTutorial linksProjects
This spreadsheet contains a list of information and data in different formats that can be collected for the analysis and diagnosis.
The aim is to use it as a working tool to monitor the data already collected, their names, sources, etc.
1. Review the
rows and select those datasets that are relevant to collect for the context in which the plan is made.
2. As the information/data has been collected, mark the columns: status, file name, source, year, link and coordinate system. This table will serve as a repository for all data used in the project.
ItemThemeData list
(information needed)
(shapefile,
raster, table)
(polygon, line,
point)
(Where to find
data)
Final Source
(Name of
Institution)
[3]
(Global source)(year)
(internal comments for the
technical team)
(support open source
videos for the
technical team)
(internal projects that
can be used as
examples)
9Basic services
materials
predominant building
materials
shapefile/raster
/table
polygon /
points
structural vulnerability
shapefile/raster
/table
polygon /
points
acces sibility
average distances to
facilities and services
shapefile/raster
/table
polygon /
points
proximity to roads
and/or public
transportation routes
shapefile/raster
/table
polygon /
points
water and
sewerage
distribution centersshapefile
polygon /
points
local
government
water service networkshapefilelines
local
government
sewage networkshapefilelines
local
gover
nment
public sewer sysyemshapefilelines
local government
storm drainage layoutshapefilelines
local government
service areatable / raster-
local government
urban suppliesshapefilepoints
local government
water sources (used
and unused)
local government
water recharge zonesshapefilepolygon
local government
wastewater treatment
plants and stateshapefile
polygon / points
local government
per capita consumption vs. availabilitytable-
local government
amount of treated
watertable-
local government
drainage outfall areasshape
polygon / points
local government
r
eservoirsshapepolygon
local government
damsshapepolygon
local government
waste
collection/transportati
on networksshape
polygon / points
local government
waste production
volumestable-
local government
per capita production
vs. recoverytable-
local government
World Development
Indicators
World Development
Indicators
World Development
Indicators
World Development
Indicators
World Development
Indicators
World Development
Indicators
World Development
Indicators
World Development
Indicators
World Development
Indicators
World Develo
pment
Indicators
World Development
Indicators
World Development
Indicators
World Development
Indicators
World Development
Indicators
World Development
Indicators
What a Waste
Database
What a Waste
Database
What a Waste
Database

215. T14 Desk and Field Research - Data Checklist Instructions
Description [1]TypeGeometryTips
Check [2]
SourceDateCommentsTutorial linksProjects
This spreadsheet contains a list of information and data in different formats that can be collected for the analysis and diagnosis.
The aim is to use it as a working tool to monitor the data already collected, their names, sources, etc.
1. Review the
rows and select those datasets that are relevant to collect for the context in which the plan is made.
2. As the information/data has been collected, mark the columns: status, file name, source, year, link and coordinate system. This table will serve as a repository for all data used in the project.
ItemThemeData list
(information needed)
(shapefile,
raster, table)
(polygon, line,
point)
(Where to find
data)
Final Source
(Name of
Institution)
[3]
(Global source)(year)
(internal comments for the
technical team)
(support open source
videos for the
technical team)
(internal projects that
can be used as
examples)
waste managementwaste management
centers and stateshapefile
polygon /
points
local
government
industrial waste
generationtable-
local
government
demolition waste
generationtable-
local
government
landfillsshapefile
polygon /
points
local
government
electricity and
street lighting
service areatable / raster-
local
government
substation locationsshapefile
polygon /
points
local
government
distribution linesshapefilelines
local
government
street lightingshapefilepoints
local
government
generation by source
type (%)table-
local
government
per cap
ita
consumption vs. availabilitytable-
local government
Alternative energy
production plants
(solar/wind)shapefile
polygon / points
local government
telecommunication
s
internet acces stable / raster-
local government
mobile network service areatable / raster-
local government
antenna/repeater
locationsshapefile
polygon / points
local government
temperature
historical temperature
variationstable-
historical number of
above-average daystable-
heat islandsraster-
solar radiationtable / raster-
temperature
projections (min, max,
avg.) (30 years)table
-
surface temperaturetable / raster-
air speedtable / raster-
climate units
shapefile / rasterpolygon
What a Waste
Database
What a Waste
Database
What a Waste
Database
What a Waste
Database
World Development
Indicators
World Development
Indicators
World Development
Indicators
World Development
Indicators
World Development
Indicators
World Development
Indicators
World Development
Indicators
World Development
Indicators
World Development
Indicators
Global Temperature
Data
Global Temperature
Data
Global Temperature
Data
Global Temperature
Data
Global T
emperature
Data
Global Temperature
Data
Global Temperature
Data T1 (nYirRnPental and 6Rcial 6creeninJ ReSRrt TePSlate
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
? Applies for: Total score is lower
[OHUHUKUVP[LT^HZZJVYLK
^P[O
? Activities to consider in the
workplan and budget :
+L]LSVWTLU[0TWHJ[7SHU+07
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` +2
X 0aGeXi kn decd neog
? Applies for: ;V[HSZJVYLPZHIV]L
HUKHU`P[LT^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
(J[PVU7SHU,:(7 Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G2
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of
a humanitarian action.
? Activities to consider in the workplan and budget : 0M[PTL
HSSV^ZWYLWHYLH+L]LSVWTLU[0TWHJ[7SHU+07,HJO[PTL[OL
ZP[\H[PVUJOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
? Applies for: projects with limited
physical interventions or total
ZJVYLPZSV^LY[OHUHUKUVP[LT
^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget: :JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK
:VJPHS(J[PVU7SHU,:(7
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G
erh )2
X 0aGeXi kn decd neog
? Applies for:
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
0TWHJ[(ZZLZZTLU[9LWVY[,:0( Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` ( )
erh )22
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian
action.
? Activities to consider in the workplan and budget :
,U]PYVUTLU[HSHUK:VJPHS(J[PVU7SHU,HJO[PTL[OLZP[\H[PVU
JOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2

216. T14 Desk and Field Research - Data Checklist Instructions
Description [1]TypeGeometryTips
Check [2]
SourceDateCommentsTutorial linksProjects
This spreadsheet contains a list of information and data in different formats that can be collected for the analysis and diagnosis.
The aim is to use it as a working tool to monitor the data already collected, their names, sources, etc.
1. Review the
rows and select those datasets that are relevant to collect for the context in which the plan is made.
2. As the information/data has been collected, mark the columns: status, file name, source, year, link and coordinate system. This table will serve as a repository for all data used in the project.
ItemThemeData list
(information needed)
(shapefile,
raster, table)
(polygon, line,
point)
(Where to find
data)
Final Source
(Name of
Institution)
[3]
(Global source)(year)
(internal comments for the
technical team)
(support open source
videos for the
technical team)
(internal projects that
can be used as
examples)
10
Disaster risk management and
climate vulnerability
precipitations
historical extreme
rainfall eventstable-
average annual rainfalltable-
floodable area (%)table-
flood risk areasshapefilepolygon
road length flooded
(%)table-
building area flooded
(%)table / raster-
number of critical
facilities flooded (%)table / raster-
number of flooded
community facilities
(%)table / raster-
population affected by
the risk of flooding (%)table / raster-
precipitation
projections (30 years)table-
storm frequencytable-
flood
level (meters)table-
water balancepolygon
droughts
droughts per year, and
historical frequencytable-
duration and intensitytable-
most affected areastable / raster-
geology
seismic vulnerability
soilsraster-
landslide vulnerability
soilsraster-
aridityraster-
ClimateWizard
for projected
data and ? for historical and
current data
soil erosivityraster-
ClimateWizard
for projected
data and ? for historical and
current data
historical landslidestable
history of earthquakes
and intensitytable
history of volcanic
eruptionstable
G
lobal Rainfall Data
Global Rainfall Data
Flooding risk
Flooding risk
Flooding risk
Flooding risk
Flooding risk
Flooding risk
Flooding risk
Global Rainfall Data
Global Rainfall Data
Flooding risk
Global Drought
Information System
Global Drought
Information System
Global Drought
Information System
OpenQuake Map
Viewer
Landslide risk
Aridity map
Soil Erosivity map
Landslide risk
OpenQuake Map
Viewer
-
-
- T1 (nYirRnPental and 6Rcial 6creeninJ ReSRrt TePSlate
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
? Applies for: Total score is lower
[OHUHUKUVP[LT^HZZJVYLK
^P[O
? Activities to consider in the
workplan and budget :
+L]LSVWTLU[0TWHJ[7SHU+07
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` +2
X 0aGeXi kn decd neog
? Applies for: ;V[HSZJVYLPZHIV]L
HUKHU`P[LT^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
(J[PVU7SHU,:(7 Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G2
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of
a humanitarian action.
? Activities to consider in the workplan and budget : 0M[PTL
HSSV^ZWYLWHYLH+L]LSVWTLU[0TWHJ[7SHU+07,HJO[PTL[OL
ZP[\H[PVUJOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
? Applies for: projects with limited
physical interventions or total
ZJVYLPZSV^LY[OHUHUKUVP[LT
^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget: :JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK
:VJPHS(J[PVU7SHU,:(7
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G
erh )2
X 0aGeXi kn decd neog
? Applies for:
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
0TWHJ[(ZZLZZTLU[9LWVY[,:0( Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` ( )
erh )22
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian
action.
? Activities to consider in the workplan and budget :
,U]PYVUTLU[HSHUK:VJPHS(J[PVU7SHU,HJO[PTL[OLZP[\H[PVU
JOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2

217. T14 Desk and Field Research - Data Checklist Instructions
Description [1]TypeGeometryTips
Check [2]
SourceDateCommentsTutorial linksProjects
This spreadsheet contains a list of information and data in different formats that can be collected for the analysis and diagnosis.
The aim is to use it as a working tool to monitor the data already collected, their names, sources, etc.
1. Review the
rows and select those datasets that are relevant to collect for the context in which the plan is made.
2. As the information/data has been collected, mark the columns: status, file name, source, year, link and coordinate system. This table will serve as a repository for all data used in the project.
ItemThemeData list
(information needed)
(shapefile,
raster, table)
(polygon, line,
point)
(Where to find
data)
Final Source
(Name of
Institution)
[3]
(Global source)(year)
(internal comments for the
technical team)
(support open source
videos for the
technical team)
(internal projects that
can be used as
examples) T1 (nYirRnPental and 6Rcial 6creeninJ ReSRrt TePSlate
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
City/
Neighbourhood
Plan
X
5VYPZRZVYSV^YPZR
? Applies for: Total score is lower
[OHUHUKUVP[LT^HZZJVYLK
^P[O
? Activities to consider in the
workplan and budget :
+L]LSVWTLU[0TWHJ[7SHU+07
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` +2
X 0aGeXi kn decd neog
? Applies for: ;V[HSZJVYLPZHIV]L
HUKHU`P[LT^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
(J[PVU7SHU,:(7 Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G2
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the neighbourhood/city
planworks an urban area under an emergency /crisis or is part of
a humanitarian action.
? Activities to consider in the workplan and budget : 0M[PTL
HSSV^ZWYLWHYLH+L]LSVWTLU[0TWHJ[7SHU+07,HJO[PTL[OL
ZP[\H[PVUJOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2
Project
(Physical
intervention)
X
5VYPZRZVYSV^YPZR
? Applies for: projects with limited
physical interventions or total
ZJVYLPZSV^LY[OHUHUKUVP[LT
^HZZJVYLK^P[O
? Activities to consider in the
workplan and budget: :JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK
:VJPHS(J[PVU7SHU,:(7
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` G
erh )2
X 0aGeXi kn decd neog
? Applies for:
? Activities to consider in the
workplan and budget !:JVWPUN
9LWVY[HUK,U]PYVUTLU[HSHUK:VJPHS
0TWHJ[(ZZLZZTLU[9LWVY[,:0( Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` ( )
erh )22
X
7V[LU[PHSYPZRZ
? Applies for: Regardless of the score, the project is designed to
respond to an emergency/crisis or is part of a humanitarian
action.
? Activities to consider in the workplan and budget :
,U]PYVUTLU[HSHUK:VJPHS(J[PVU7SHU,HJO[PTL[OLZP[\H[PVU
JOHUNLZYL[HRL[OL:JYLLUPUN9LWVY[
Iuym]epir[ [s <51/eIm[e[?Z I:: Ge[iksY` I2

218. T15 Matrix of Functions (MoF)
Description The Matrix of Functions (MoF) supports the territorial spatial analysis by giving an integrated
and empirical understanding of the spatial structure and the land use by producing a set of hypotheses and
assumptions . The visual correlation of each function by region provides a visualisation of the current qualities
of the territory and its distribution, enabling the identification of gaps and actions to be considered in the
development plan. The tool has two steps: 1) Inventory of Functions and 2) Building and Assessing the
Matrix.
Participants Technical team and representative sample of population and key stakeholders.
Step 1. The MoF Survey
This step aims to collect the information of where each function is absent or present.
1. Divide the city in sectors of analysis (by neighbourhood, zone, or other spatial sector classification) and list
them.
2. List the functions (services, activities, etc.) that are important for a proper functioning of an urban
environment based on the local
context. A function is every service, equipment, activity and facility which
has an environmental, economic, administrative, social or cultural function in a given human settlement, it
can be related to education (e.g. schools, universities, training centres), economy (e.g. shops, stores,
restaurants), mobility (e.g. bus stop, bike lanes), environment (park, public square), health (pharmacies,
medical centres), etc.
3. List additional information related to these functions that can complement the analysis (e.g. main
challenges to access a specific service).
4. Prepare a survey to be answered by representatives of each area of the city. The presence or absence of
each function should be collected in levels ranging from 0 to 5 (0 meaning absent and 5 very
present/frequent/important).
5. Do a brief training with those who will go to the field and carry out the participatory surveys.
Tip: For in-person surveys, use the MoF survey template at the end of this tool and edit based on the city context. For
online surveys, use a digital platform (e.g. Kobotoolbox) that allows downloading the results in excel format.
Step 2.
Building and Assessing the Matrix
In this step the technical team analyses the data and showcases the results.
1. Consolidate the data collected in a spreadsheet: the column corresponds to the sectors of the city and
the rows to the listed functions.
2. Separate the answers of the availability of services from the analytical information.
3. Organise the functions by hierarchy: higher results on the left and lower answers on the right.
4. Organise the sectors of the city by hierarchy: higher answers on top and lower answers on the bottom.
5. Colour answers: darker for higher answers and lighter for lower answers, as exemplified below.
6. The matrix is then ordered to categorise sectors and establish a set of prevalent functions of each
category.
7. Highlight the lowest answers to identify the main development challenges.

219. T15 Matrix of Functions (MoF)
Description The Matrix of Functions (MoF) supports the territorial spatial analysis by giving an integrated
and empirical understanding of the spatial structure and the land use by producing a set of hypotheses and
assumptions . The visual correlation of each function by region provides a visualisation of the current qualities
of the territory and its distribution, enabling the identification of gaps and actions to be considered in the
development plan. The tool has two steps: 1) Inventory of Functions and 2) Building and Assessing the
Matrix.
Participants Technical team and representative sample of population and key stakeholders.
Step 1. The MoF Survey
This step aims to collect the information of where each function is absent or present.
1. Divide the city in sectors of analysis (by neighbourhood, zone, or other spatial sector classification) and list
them.
2. List the functions (services, activities, etc.) that are important for a proper functioning of an urban
environment based on the local context. A function is every service, equipment, activity and facility which
has an environmental, economic, administrative, social or cultural function in a given human settlement, it
can be related to education (e.g. schools, universities, training centres), economy (e.g. shops, stores,
restaurants), mobility (e.g. bus stop, bike lanes), environment (park, public square), health (pharmacies,
medical centres), etc.
3. List additional information related to these functions that can complement the analysis (e.g. main
challenges to access a specific service).
4. Prepare a survey to be answered by representatives of each area of the city. The presence or absence of
each function should be collected in levels ranging from 0 to 5 (0 meaning absent and 5 very
present/frequent/important).
5. Do a brief training with those who will go to the field and carry out the participatory surveys.
Tip: For in-person surveys, use the MoF survey template at the end of this tool and edit based on the city context. For
online surveys, use a digital platform (e.g. Kobotoolbox) that allows downloading the results in excel format.
Step 2. Building and Assessing the Matrix
In this step the technical team analyses the data and showcases the results.
1. Consolidate the data collected in a spreadsheet: the column corresponds to the sectors of the city and
the rows to the listed functions.
2. Separate the answers of the availability of services from the analytical information.
3. Organise the functions by hierarchy: higher results on the left and lower answers on the right.
4. Organise the sectors of the city by hierarchy: higher answers on top and lower answers on the bottom.
5. Colour answers: darker for higher answers and lighter for lower answers, as exemplified below.
6. The matrix is then ordered to categorise sectors and establish a set of prevalent functions of each
category.
7. Highlight the lowest answers to identify the main development challenges.
T15 Matrix of Functions (MoF)
8. Considering the number and type of functions available in them, the matrix classifies the area into
functional categories.
9. Using the matrix, the spatial structure of the territory will be defined. It is necessary to analyse the
territorial dynamics of the region and the role' settlements in this structure based on the presence (or
not) of key environmental services, physical infrastructure and social and economic activities.
10. Clusters of settlements with similar levels of development, areas with more concentration of
settlements and functions are strongly interconnected and work cooperatively, and isolated areas with
important functions.
11. Identify categories of (clusters) settlements based on hierarchy and functions.
12. Generate spatial maps to represent linkages and influence among different areas within the region.
Example of how to analyse the availability of services in the Matrix of Functions:
Example of how to analyse challenges to access services in the Matrix of Functions:

220. T15 Matrix of Functions (MoF)
Tip: Showcase the results of the MoF through maps by linking the spreadsheet with the GIS tool the technical team is
using. Also, correlate problems/services to create analytical infographics on excel (e.g. percentage of sectors that have
high air pollution and no parks).
Note: Edit the Template to adapt to the specific context of the city. It is important to address questions that will enable
filling the gaps of information. The questions may be as general/specific as needed.
Matrix of Functions Survey Template
This survey refers to the neighbourhood (write the sector of analysis): …………………………………………………..
Name of surveyor :.………………...…………………………………………………...……... Date :..................................
EDUCATION
1. How do you evaluate the availability of the following services in your neighbourhood?
0 = Totally absent 1 = Very few 2 = Exist, but extremely insufficient 3 = Insufficient
4 = There are many and respond to almost all needs. 5 = There are plenty, it is definitely sufficient.
Daycare
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Primary school ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Secondary school ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
University, higher education centres,
training centres, etc.
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
2. What are the challenges that prevent children from going to school?
Lack of economic resources ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Not enough number of schools ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Transportation barriers ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Other (please indicate): ……………...…………………………

⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
RESIDENTIAL
3. How do you evaluate the household size in your neighbourhood?
Number of people by house ⬚ 0 (empty) ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5 (or more)
Number of rooms ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5 (or more)
HEALTH 4. How do you evaluate the availability of the following services in your neighbourhood?
0 = Totally absent 1 = Very few 2 = Exist, but extremely insufficient 3 = Insufficient
4 = There are many and respond to almost all needs. 5 = There are plenty, it is definitely sufficient

221. T15 Matrix of Functions (MoF)
Tip: Showcase the results of the MoF through maps by linking the spreadsheet with the GIS tool the technical team is
using. Also, correlate problems/services to create analytical infographics on excel (e.g. percentage of sectors that have
high air pollution and no parks).
Note: Edit the Template to adapt to the specific context of the city. It is important to address questions that will enable
filling the gaps of information. The questions may be as general/specific as needed.
Matrix of Functions Survey Template
This survey refers to the neighbourhood (write the sector of analysis): …………………………………………………..
Name of surveyor :.………………...…………………………………………………...……... Date :..................................
EDUCATION
1. How do you evaluate the availability of the following services in your neighbourhood?
0 = Totally absent 1 = Very few 2 = Exist, but extremely insufficient 3 = Insufficient
4 = There are many and respond to almost all needs. 5 = There are plenty, it is definitely sufficient.
Daycare ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Primary school ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Secondary school ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
University, higher education centres,
training centres, etc.
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
2. What are the challenges that prevent children from going to school?
Lack of economic resources ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Not enough number of schools ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Transportation barriers ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Other (please indicate):
……………...…………………………
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
RESIDENTIAL
3. How do you evaluate the household size in your neighbourhood?
Number of people by house ⬚ 0 (empty) ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5 (or more)
Number of rooms ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5 (or more)
HEALTH
4. How do you evaluate the availability of the following services in your neighbourhood?
0 = Totally absent 1 = Very few 2 = Exist, but extremely insufficient 3 = Insufficient
4 = There are many and respond to almost all needs. 5 = There are plenty, it is definitely sufficient
T15 Matrix of Functions (MoF)
Pharmacy ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Laboratory, clinic and medical centre ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Hospital ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
5. What are the challenges that prevent people from using health services?
Lack of economic resources ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Not enough number of health
facilities
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Transportation barriers ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Other (please indicate): ……………...…………………………

⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
INFRASTRUCTURE
6. How do you evaluate the availability of the following services in your neighbourhood?
0 = Totally absent 1 = Very few 2 = Exist, but extremely insufficient 3 = Insufficient
4 = There are many and respond to almost all needs. 5 = There are plenty, it is definitely sufficient
Water network coverage ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Electricity ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Internet and telecommunication
network coverage
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Sanitation and drainage system network coverage

⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Solid waste collection system ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Roads ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Bus, train, subway stops ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Bus, train, subway lines ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Cycling lanes ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Sidewalks ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Internet and telecommunication network coverage

⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
7. What are the challenges that prevent people from having water?
Please rank the relevance from 1-5. If not a challenge, please mark 0.
Lack of water network ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5

222. T15 Matrix of Functions (MoF)
Lack of economic resources
(affordability)
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Other (please indicate): ……………...…………………………

⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
8. What are the challenges that prevent people from electricity?
Please rank the relevance from 1-5. If not a challenge, please mark 0.
Lack of electricity network ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Lack of economic resources
(affordability)
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Other (please indicate): ……………...…………………………

⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
9. What are the challenges in transportation within this neighbourhood?
Please rank the relevance from 1-5. If not a challenge, please mark 0.
Lack of roads ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Bad quality of roads ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Lack of public transportation ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Not enough transportation options or
connectivity
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Other (please indicate):
……………...…………………………
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
10. What are the challenges in transportation to other parts of the city?
Please rank the relevance from 1-5. If not a challenge, please mark 0.
Lack of roads ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Bad quality of roads ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Lack of public transportation ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Not enough transportation options or
connectivity
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Other (please indicate):
……………...…………………………
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
11. What percentage of people in your neighbourhood go to other neighbourhoods everyday for essential activities
(work, education, groceries, etc.)?
0 = no one 1= Less than 25% 2 = 25-50% 3 = 50-75% 4 = More than 75% 5 = Everyone
……………...…………………………
(Neighbourhood 1)
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
……………...…………………………
(Neighbourhood 2)
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5

223. T15 Matrix of Functions (MoF)
Lack of economic resources
(affordability)
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Other (please indicate):
……………...…………………………
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
8. What are the challenges that prevent people from electricity?
Please rank the relevance from 1-5. If not a challenge, please mark 0.
Lack of electricity network ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Lack of economic resources
(affordability)
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Other (please indicate):
……………...…………………………
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
9. What are the challenges in transportation within this neighbourhood?
Please rank the relevance from 1-5. If not a challenge, please mark 0.
Lack of roads ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Bad quality of roads ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Lack of public transportation ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Not enough transportation options or
connectivity
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Other (please indicate):
……………...…………………………
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
10. What are the challenges in transportation to other parts of the city?
Please rank the relevance from 1-5. If not a challenge, please mark 0.
Lack of roads ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Bad quality of roads ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Lack of public transportation ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Not enough transportation options or
connectivity
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Other (please indicate):
……………...…………………………
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
11. What percentage of people in your neighbourhood go to other neighbourhoods everyday for essential activities
(work, education, groceries, etc.)?
0 = no one 1= Less than 25% 2 = 25-50% 3 = 50-75% 4 = More than 75% 5 = Everyone
……………...…………………………
(Neighbourhood 1)
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
……………...…………………………
(Neighbourhood 2)
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
T15 Matrix of Functions (MoF)
……………...…………………………
(Neighbourhood 3)
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
……………...…………………………
(Neighbourhood 4)
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
ENVIRONMENT, SOCIAL AND CULTURE
12. How do you evaluate the availability of the following facilities in your neighbourhood
0 = Totally absent 1 = Very few 2 = Exist, but extremely insufficient 3 = Insufficient
4 = There are many and respond to almost all needs. 5 = There are plenty, it is definitely sufficient
Public square, playground, etc. ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Open space, parks, green areas, etc. ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Restaurant, shops, etc. ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Public library ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Theatre and cinema ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Other cultural or social facilities
(please indicate):
……...……………………...
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
13. How do you evaluate the use of the following facilities in your neighbourhood?
0 = non applicable (does not exist) 1 = Empty 2 = Frequented by specific groups only in specific hours
3 = Socially mixed but frequented only in specific hours 4 = Socially mixed and well frequented
5 = Socially mixed and very busy
Public square, playground, etc. ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Open space, parks, green areas, etc. ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Restaurant, shops, etc. ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Public library ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Theatre and cinema ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Other cultural or social facilities
(please indicate):
……...……………………...
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
14. What are the main environmental challenges in your neighbourhood?
Please rank the relevance from 1-5. If not a challenge, please mark 0. Green areas degraded/polluted
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Water bodies degraded/polluted ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Air pollution ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Other (please indicate):
……………...…………………………
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5

224. T15 Matrix of Functions (MoF)
GENERAL SERVICES
15. How do you evaluate the availability of the following services in your neighbourhood?
0 = Totally absent 1 = Very few 2 = Exist, but extremely insufficient 3 = Insufficient
4 = There are many and respond to almost all needs. 5 = There are plenty, it is definitely sufficient
Market, supermarket, food shop, etc. ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
General stores and shops ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Fire station ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Police station ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Other (please indicate):
……………...…………………………
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Example: Spatial Development framework, Guinea Bissau

225. T15 Matrix of Functions (MoF)
GENERAL SERVICES
15. How do you evaluate the availability of the following services in your neighbourhood?
0 = Totally absent 1 = Very few 2 = Exist, but extremely insufficient 3 = Insufficient
4 = There are many and respond to almost all needs. 5 = There are plenty, it is definitely sufficient
Market, supermarket, food shop, etc. ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
General stores and shops ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Fire station ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Police station ⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Other (please indicate):
……………...…………………………
⬚ 0 ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4 ⬚ 5
Example: Spatial Development framework, Guinea Bissau
T15 Matrix of Functions (MoF)

226. T16 Participatory Incremental Mapping (PIM)
Description This tool helps to understand the structure of the city through participatory mapping at different
scales and with relevant stakeholders. The spatial structure of the city informs the current pattern of urban
growth and the existing structure of the urban fabric.
Participants This workshop is carried out by the technical team, the advisory committee and key
stakeholders. (See the T7 Workshop Checklist tool for more details).
Materials
Maps & documents:
● Printed base map(s) and aerial image(s) of the
municipality at different scales.
● Existing planning documents, upon availability.
● Set of photos considered useful to illustrate the
area of study.
Drawing & sketching tools:
● Rolls of tracing paper of sufficient size to sketch
on top of the maps.
● Thick drawing markers of different colours (black,
green, blue, red, yellow, brown, orange).
● Black fine liners and pencils.
Definitions
Paths Elements that connect the spatial structure of the city and routes along which people navigate
throughout it. There can be different path hierarchies: primary, secondary, and tertiary. E.g. green
corridor, navigable river, railway, bridge, roads.
Edges Boundaries that interrupt the spatial structure of the city and define the natural urban expansion area.
They are usually defined by clear natural and land use boundaries. E.g. river, mountain-chain,
planning boundary, administrative boundary, expressway dividing two neighbourhoods.
Landmarks External elements that provide orientation in the city. These have different characteristics and can be
functional, cultural/historical, environmental, etc.
Nodes Areas of convergence, where there is an aggregation of landmarks and/or conjunction of paths.
Zones Areas containing similar dynamics in the spatial structure.
Urban
consolidation
Urban areas where infrastructure capacity and land occupation are balanced and/or there are no
predictable or justifiable major changes in the current urban fabric and urban form.
Urban
transformation
Urban areas where there is a mismatch between infrastructure capacity and land occupation and/or it
is identified or predicted substantial changes in the current urban fabric and urban form.
Step 1. Mapping at the City Level
1. Update the satellite images and base maps produced for the whole city. Print them using a scale of
between 1:2000 and 1:10000 (depending on the size of the city).
2. Gather key stakeholders at the city level and divide them into groups of 4-6 persons.
3. Present the key concept and general objective of the exercise.The following instructions apply to each
group.
T16 Participatory Incremental Mapping (PIM)
4. Using the satellite images, locate and mark on the tracing paper:
● Primary paths (crossing the urban structure) and edges of the city.
● Secondary paths (usually distributing from primary and secondary) and tertiary paths (usually
connecting secondary).
● Primary functional, cultural/historical, and environmental landmarks.
● Functional cultural/historical and environmental landmarks included in the T15 Matrix of Functions
(MoF), if applicable, with a focus on functional landmarks that are traffic generators.
5. Analyse the map to see the aggregation of landmarks and conjunction of paths. Identify the nodes. Colour
the nodes with environmental landmarks in green and the nodes with cultural landmarks in brown.
6. Identify the current urban expansion dynamics of the city and discuss to determine and mark the current
urban edge and administrative boundary.
7. Identify in the map all urban areas where infrastructure capacity and land occupation are mismatching
(transformation) and colour them in red or orange. Paint the remaining area in blue (consolidation).
8. Identify in the map all areas where the structure of the city is leading the urban growth and colour them in
red or orange (priority). Paint the remaining area in blue.
9. Identify in the map all areas with informal settlements and housing precarity and paint them in yellow.
10. Analyse the relationship of these yellow zones (social) with the structure of the city. If they are disruptive to
the current urban structure, highlight them with blue lines (land readjustment). If they are located in areas of
high risk (close to water bodies, high slopes, etc), highlight them in red.
11. Each group presents their map to all participants. All groups discuss the differences between the maps
and reach a consensus to consolidate a final technical participatory map.
Step 2. Mapping at the Neighbourhood Level
1. After liaising with community leaders and local authorities, assemble key stakeholders at the
neighbourhood level. Divide participants into groups, hand them out a satellite image and sketching
materials. Then give them the following instructions.
2. Define and draw the neighbourhood edge on the tracing paper.
3. Validate the information consolidated in the technical participatory map at the city scale (paths, edges,
landmarks, nodes, and urban growth and risk zones, if applicable) within the selected neighbourhood
edge.
4. Identify any missing elements (not captured in the structure of the city represented in the technical map), in
this sequence: paths, edges, landmarks – cultural/historical, functional and environmental, using the same
colours of the technical map.
5. Refine the nodes and zones (boundaries and features) at the neighbourhood scale and validate their
current classification using the same colours of the technical map.

227. T16 Participatory Incremental Mapping (PIM)
Description This tool helps to understand the structure of the city through participatory mapping at different
scales and with relevant stakeholders. The spatial structure of the city informs the current pattern of urban
growth and the existing structure of the urban fabric.
Participants This workshop is carried out by the technical team, the advisory committee and key
stakeholders. (See the T7 Workshop Checklist tool for more details).
Materials
Maps & documents:
● Printed base map(s) and aerial image(s) of the
municipality at different scales.
● Existing planning documents, upon availability.
● Set of photos considered useful to illustrate the
area of study.
Drawing & sketching tools:
● Rolls of tracing paper of sufficient size to sketch
on top of the maps.
● Thick drawing markers of different colours (black,
green, blue, red, yellow, brown, orange).
● Black fine liners and pencils.
Definitions
Paths Elements that connect the spatial structure of the city and routes along which people navigate
throughout it. There can be different path hierarchies: primary, secondary, and tertiary. E.g. green
corridor, navigable river, railway, bridge, roads.
Edges Boundaries that interrupt the spatial structure of the city and define the natural urban expansion area.
They are usually defined by clear natural and land use boundaries. E.g. river, mountain-chain,
planning boundary, administrative boundary, expressway dividing two neighbourhoods.
Landmarks External elements that provide orientation in the city. These have different characteristics and can be
functional, cultural/historical, environmental, etc.
Nodes Areas of convergence, where there is an aggregation of landmarks and/or conjunction of paths.
Zones Areas containing similar dynamics in the spatial structure.
Urban
consolidation
Urban areas where infrastructure capacity and land occupation are balanced and/or there are no
predictable or justifiable major changes in the current urban fabric and urban form.
Urban
transformation
Urban areas where there is a mismatch between infrastructure capacity and land occupation and/or it
is identified or predicted substantial changes in the current urban fabric and urban form.
Step 1. Mapping at the City Level
1. Update the satellite images and base maps produced for the whole city. Print them using a scale of
between 1:2000 and 1:10000 (depending on the size of the city).
2. Gather key stakeholders at the city level and divide them into groups of 4-6 persons.
3. Present the key concept and general objective of the exercise.The following instructions apply to each
group.
T16 Participatory Incremental Mapping (PIM)
4. Using the satellite images, locate and mark on the tracing paper:
● Primary paths (crossing the urban structure) and edges of the city.
● Secondary paths (usually distributing from primary and secondary) and tertiary paths (usually
connecting secondary).
● Primary functional, cultural/historical, and environmental landmarks.
● Functional cultural/historical and environmental landmarks included in the T15 Matrix of Functions
(MoF), if applicable, with a focus on functional landmarks that are traffic generators.
5. Analyse the map to see the aggregation of landmarks and conjunction of paths. Identify the nodes. Colour
the nodes with environmental landmarks in green and the nodes with cultural landmarks in brown.
6. Identify the current urban expansion dynamics of the city and discuss to determine and mark the current
urban edge and administrative boundary.
7. Identify in the map all urban areas where infrastructure capacity and land occupation are mismatching
(transformation) and colour them in red or orange. Paint the remaining area in blue (consolidation).
8. Identify in the map all areas where the structure of the city is leading the urban growth and colour them in
red or orange (priority). Paint the remaining area in blue.
9. Identify in the map all areas with informal settlements and housing precarity and paint them in yellow.
10. Analyse the relationship of these yellow zones (social) with the structure of the city. If they are disruptive to
the current urban structure, highlight them with blue lines (land readjustment). If they are located in areas of
high risk (close to water bodies, high slopes, etc), highlight them in red.
11. Each group presents their map to all participants. All groups discuss the differences between the maps
and reach a consensus to consolidate a final technical participatory map.
Step 2. Mapping at the Neighbourhood Level
1. After liaising with community leaders and local authorities, assemble key stakeholders at the
neighbourhood level. Divide participants into groups, hand them out a satellite image and sketching
materials. Then give them the following instructions.
2. Define and draw the neighbourhood edge on the tracing paper.
3. Validate the information consolidated in the technical participatory map at the city scale (paths, edges,
landmarks, nodes, and urban growth and risk zones, if applicable) within the selected neighbourhood
edge.
4. Identify any missing elements (not captured in the structure of the city represented in the technical map), in
this sequence: paths, edges, landmarks – cultural/historical, functional and environmental, using the same
colours of the technical map.
5. Refine the nodes and zones (boundaries and features) at the neighbourhood scale and validate their
current classification using the same colours of the technical map.

228. T16 Participatory Incremental Mapping (PIM)
6. Each group presents their map to all participants. All groups discuss the differences between the maps
and reach a consensus to draw a final collective consensual map.
Step 3. Mapping of hazards, exposure and nature spaces
This step of the mapping exercise looks at the spatial component of vulnerability and ecosystem services. This
approach helps to identify areas exposed to hazard and to generate data that can be used in planning for the
reduction of local vulnerabilities and the protection of urban ecosystems.
1. Print a new version of the satellite images and the land-use map covering the entire city. Print them using a
scale of between 1:2000 and 1:10000 (depending on the size of the city).
2. Divide participants into groups according to the neighbourhoods.
3. Present the objective of the exercise and the concepts applied for this exercise (hazard, exposure).
4. Using the land-use map, locate and mark the following items (if applicable to your city): areas affected by
flooding (coastal, river, etc.), areas affected by landslides, eroded areas (river, coastal, hillsides), areas
prone to stagnation of water, areas affected by heat.
5. Overlay the hazard map and the map produced in Step 1 in order to identify areas and key elements that
are exposed to hazards.
6. Using the satellite images (and the land-use map if needed), discuss and locate green and blue spaces
within the city.
Step 4. Map Consolidation
1. After validating the information of the maps produced through the previous steps, assemble key urban
experts and at least one representative of each neighbourhood (community members that performed well
during the participatory exercise), and give them the following instructions.
2. Update the urban edge based on the participatory exercises and validate it with the plenary.
3. In discussion with all participants, draw and consolidate a final map that includes:
● All paths, edges and landmarks included in the neighbourhood maps.
● All nodes, zones, and boundaries from the neighbourhood maps.
● All hazard-prone areas from the hazard map.
4. Draw with the plenary a second map that only includes key elements: the structure of the city.

229. T16 Participatory Incremental Mapping (PIM)
6. Each group presents their map to all participants. All groups discuss the differences between the maps
and reach a consensus to draw a final collective consensual map.
Step 3. Mapping of hazards, exposure and nature spaces
This step of the mapping exercise looks at the spatial component of vulnerability and ecosystem services. This
approach helps to identify areas exposed to hazard and to generate data that can be used in planning for the
reduction of local vulnerabilities and the protection of urban ecosystems.
1. Print a new version of the satellite images and the land-use map covering the entire city. Print them using a
scale of between 1:2000 and 1:10000 (depending on the size of the city).
2. Divide participants into groups according to the neighbourhoods.
3. Present the objective of the exercise and the concepts applied for this exercise (hazard, exposure).
4. Using the land-use map, locate and mark the following items (if applicable to your city): areas affected by
flooding (coastal, river, etc.), areas affected by landslides, eroded areas (river, coastal, hillsides), areas
prone to stagnation of water, areas affected by heat.
5. Overlay the hazard map and the map produced in Step 1 in order to identify areas and key elements that
are exposed to hazards.
6. Using the satellite images (and the land-use map if needed), discuss and locate green and blue spaces
within the city.
Step 4. Map Consolidation
1. After validating the information of the maps produced through the previous steps, assemble key urban
experts and at least one representative of each neighbourhood (community members that performed well
during the participatory exercise), and give them the following instructions.
2. Update the urban edge based on the participatory exercises and validate it with the plenary.
3. In discussion with all participants, draw and consolidate a final map that includes:
● All paths, edges and landmarks included in the neighbourhood maps.
● All nodes, zones, and boundaries from the neighbourhood maps.
● All hazard-prone areas from the hazard map.
4. Draw with the plenary a second map that only includes key elements: the structure of the city.
T16 Participatory Incremental Mapping (PIM)
5. Digitalize the information for easy replication and convert them to GIS files, if possible.
Example: Bahir Dar, Ethiopia

230. T17 Impact Chain Diagram
Description This analytical and participatory tool helps to identify and systematise the connection between
hazards and the impacts to which a settlement and its population are exposed.
Participants This activity is carried out by the technical team, the advisory committee and key stakeholders.
Materials
Drawing & sketching tools:
● Rolls of tracing paper of sufficient size to write on them.
● A surface to stick the papers on and to draw lines that function as arrows.
● Thick drawing markers of different colours (black, green, blue, red, yellow, brown, orange).
● Black fine liners and pencils.
Definitions
Hazards Potential occurrence of an event that may cause loss of life, injury, or other health impacts as well as
damage and loss to property, infrastructure, livelihoods, service provision, ecosystem and
environmental resources.
Exposure Presence of people, species and ecosystems that could be adversely affected by hazards.
Impacts Exposure and sensitivity in combination determine the potential impact of a hazard. Primary impacts
can create further impacts (secondary impacts).
Step 1. Introduction
Before starting the activity, review the information regarding historical natural hazards, disasters and
emergencies, climate data and climate-change related hazards that have increased in the last decades in the
city. This information was gathered during the desk research and the step 3 from the T16 Participatory
Incremental Mapping. The analysis of the information before starting the activity will allow the facilitators to
have a better overview of the risks to which the city is exposed and to guide the workshop adequately.
During the activity:
1. S tart with a brief introduction about the objective and the expected outcomes of the activity.
2. Start defining the different concepts that will be used to create the impact chain diagram, such as
hazards, exposure and impacts (primary and secondary).
Step 2. Identification of hazards
1. Enhance the discussion by asking the participants what have been the natural hazards that have
affected the city in the last decades. Guide the discussion by giving some examples (floods,
earthquakes, landslides, volcanic eruptions, cyclones, drought, heatwaves, storm surges) that fit
according to the data that was gathered in other activities, taking into account the frequency and
intensity of the hazards. To facilitate the identification of natural and climate-related hazards, use the
table below.
T17 Impact Chain Diagram
2. Write on the stickers up to five main hazards and paste them in a first column. These hazards are
expected to become more severe according to the discussion of the participants that are aware of the
citys climate and natural contextea.
Step 3. Identification of impacts
1. In the second column, participants will paste the sticker writing the potential impacts caused by the
previously identified hazards, which include impacts that affects factors such as:
a. Natural environment and ecosystem services (including agriculture)
b. Built environment and social infrastructure
c. Resource extraction (water, wood, fishery, etc.) and resource processing (industry and services)
activities
2. Link by drawing arrows the hazards and the impacts that are generated. This will create a impact chain
diagram. Consider that different hazards can impact the same factor and can affect more than one
factor.
3. In a third column participants will write down how the primary impacts generate impacts on the social
sphere, these will be considered secondary impacts and include:
a. Impacts on economic activities
b. Impacts on vulnerable groups and individuals
c. Impacts on demography
d. Impacts on livelihoods and public health
4. During the discussion, highlight that the interactions between hazards and potential impacts define the
exposure of the settlement and the population.
Step 4. Wrapping-up discussion

231. T17 Impact Chain Diagram
Description This analytical and participatory tool helps to identify and systematise the connection between
hazards and the impacts to which a settlement and its population are exposed.
Participants This activity is carried out by the technical team, the advisory committee and key stakeholders.
Materials
Drawing & sketching tools:
● Rolls of tracing paper of sufficient size to write on them.
● A surface to stick the papers on and to draw lines that function as arrows.
● Thick drawing markers of different colours (black, green, blue, red, yellow, brown, orange).
● Black fine liners and pencils.
Definitions
Hazards Potential occurrence of an event that may cause loss of life, injury, or other health impacts as well as
damage and loss to property, infrastructure, livelihoods, service provision, ecosystem and
environmental resources.
Exposure Presence of people, species and ecosystems that could be adversely affected by hazards.
Impacts Exposure and sensitivity in combination determine the potential impact of a hazard. Primary impacts
can create further impacts (secondary impacts).
Step 1. Introduction
Before starting the activity, review the information regarding historical natural hazards, disasters and
emergencies, climate data and climate-change related hazards that have increased in the last decades in the
city. This information was gathered during the desk research and the step 3 from the T16 Participatory
Incremental Mapping. The analysis of the information before starting the activity will allow the facilitators to
have a better overview of the risks to which the city is exposed and to guide the workshop adequately.
During the activity:
1. S tart with a brief introduction about the objective and the expected outcomes of the activity.
2. Start defining the different concepts that will be used to create the impact chain diagram, such as
hazards, exposure and impacts (primary and secondary).
Step 2. Identification of hazards
1. Enhance the discussion by asking the participants what have been the natural hazards that have
affected the city in the last decades. Guide the discussion by giving some examples (floods,
earthquakes, landslides, volcanic eruptions, cyclones, drought, heatwaves, storm surges) that fit
according to the data that was gathered in other activities, taking into account the frequency and
intensity of the hazards. To facilitate the identification of natural and climate-related hazards, use the
table below.
T17 Impact Chain Diagram
2. Write on the stickers up to five main hazards and paste them in a first column. These hazards are
expected to become more severe according to the discussion of the participants that are aware of the
citys climate and natural contextea.
Step 3. Identification of impacts
1. In the second column, participants will paste the sticker writing the potential impacts caused by the
previously identified hazards, which include impacts that affects factors such as:
a. Natural environment and ecosystem services (including agriculture)
b. Built environment and social infrastructure
c. Resource extraction (water, wood, fishery, etc.) and resource processing (industry and services)
activities
2. Link by drawing arrows the hazards and the impacts that are generated. This will create a impact chain
diagram. Consider that different hazards can impact the same factor and can affect more than one
factor.
3. In a third column participants will write down how the primary impacts generate impacts on the social
sphere, these will be considered secondary impacts and include:
a. Impacts on economic activities
b. Impacts on vulnerable groups and individuals
c. Impacts on demography
d. Impacts on livelihoods and public health
4. During the discussion, highlight that the interactions between hazards and potential impacts define the
exposure of the settlement and the population.
Step 4. Wrapping-up discussion

232. T17 Impact Chain Diagram
Once all the primary and secondary impacts have been linked, review the final result of the diagram starting
from the hazards, verifying that the flow is coherent and all the impacts are correctly linked. This process will
facilitate future activities for analysing the vulnerability of the settlement and the population.
Tip: The level of accuracy on defining each impact, whereas its primary or secondary will depend on the profile,
experience and technical capacity of the participants. Some participants will have a more technical understanding on
how risks perturb ecosystems and human settlements, other participants will give a more detailed explanation on how
impacts are occuring based on their experience facing hazards. It is important that the facilitator moderate the
participation and establish a balanced outcome of the identified impacts.
Example

233. T17 Impact Chain Diagram
Once all the primary and secondary impacts have been linked, review the final result of the diagram starting
from the hazards, verifying that the flow is coherent and all the impacts are correctly linked. This process will
facilitate future activities for analysing the vulnerability of the settlement and the population.
Tip: The level of accuracy on defining each impact, whereas its primary or secondary will depend on the profile,
experience and technical capacity of the participants. Some participants will have a more technical understanding on
how risks perturb ecosystems and human settlements, other participants will give a more detailed explanation on how
impacts are occuring based on their experience facing hazards. It is important that the facilitator moderate the
participation and establish a balanced outcome of the identified impacts.
Example
T19. Urban Expansion Projections The development plan is for the year:
Year
Average rate (%) of annual population growth:
175.00%
Summary: Urban Expansion Projections
Projections for year:
Demographic GrowthUrban Expansion (km²)
Instructions:
Total Population
Surface
Average
Use this template to calculate the urban expansions projections. Percentages are already configured, so insert numbers only (e.g. for 2%, insert 2).
1. Fill the yellow cell below with the year for which the Plan is being developed.
3. Fill the yellow cell below with the average population growth .
3b. If the annual population growth rate is not available, calculate it by using the table below. First, fill the orange cells. Then, add the final result (D25) to the yel
low cell above (E17).
Fill the orange cells below with the population of 2 different years.
Example: For a 2020 Development Plan, data from 2000 and 2008 will not be suitable (20 years of comparison). For a 2020 Development Plan, data from 2019 and 2018 will be ideal.
Use a comma (,) for thousands and use a dot (.) for decimals. 2. Fill the yellow cells below with the data from the current year or from the last census. Note: This information can be usually found through literature review., calculate it by filling the orange cells on the table below. Add the final result to the yellow cell above Note1: For this analysis, the year difference between year 1 and year 2 should not be greater than 10 years. Example: Comparison of data between 2020 and 2009 (11 years of difference) might misslead the analysis. Note2: Prioritize data from recent years. Data should not be older than 15 years.
20
Current context (or last census):
50,00020.002,500
aannualrate
2.00%
2020
If it is not available(D25) (E17).
YearTotal Population (hab)
Average Rate (%) of
Annual Population
Growth:
Rate (%)Total Population (hab)
Population Growth
(hab)6,50010,00015,000
2.00%0-50,000
Year 120211,200
Year 220235,400
Year differencePopulation growth
24,200
Low densityMedium densityHigh density
20
-7.69-5.00-3.33
Note1: Another rate (%) may be used if necessary, considering the context. Note2: Usually is it is recommended to plan for high density urban expansion. However, local context and culture must be considered. For reference, check UN-Habitat's planning principles:
A new strategy of Sustainable Neighbourhood Planning: Five Principles

234. T20 Vulnerability Assessment
Description The objective of the vulnerability assessment is to determine the vulnerability of a city or
neighbourhood to natural hazards, including climate change-induced, depending on the geographical scale
that has been selected for the analysis. Vulnerability - defined as a susceptibility to harm or a potential for
change or transformation—is constituted of three components: exposure, sensitivity and response capacity.
Participants This activity is carried out by the technical team. However, data collection and validation of
information should be done through a participatory process involving local stakeholders.
Instructions
The assessment of local vulnerability to natural hazards and climate change combines information on the
environmental, socio-economic, and institutional context. On the one hand, pre-existing, underlying
vulnerabilities related to the socio-economic context, ecosystems and infrastructure will interact with natural
hazards, including climate changed-induced hazards, impacting risk and vulnerability. On the other hand,
uncertainties about future vulnerability and risks also require following a multiscale approach.
The collection of data, related to historical disasters caused by natural hazards, climate change trends, people
and places, is a prerequisite in order to dispose of the necessary information to analyse the different elements
that compose vulnerability. Also, the vulnerability assessment should build on T17 Impact Chain Diagram and
T16 Participatory Incremental Mapping (PIM).
Community engagement throughout the steps is highly recommended as participatory data collection methods
can help capture the key challenges faced by inhabitants and their perceptions of current and future natural
and climate-related risks. Different methods can be used for this purpose: focus group discussions, household
surveys, neighbourhood walks with community members, etc. Participatory activities proposed in this tool are
marked as “ Optional participatory activities ”. Depending on the time and resources available for the
vulnerability assessment, the technical team should assess how many of the participatory activities proposed
in this tool can be implemented.
You may want to use the
T20 Vulnerability Assessment ( Digital Tool spreadsheet ) in order to facilitate the
completion of the table in each step.
Definitions
Exposure Presence of people, species and ecosystems that could be adversely affected by hazards.
Sensitivity Degree to which a settlement is adversely or beneficially affected by hazards, including its biophysical
and socioeconomic elements.
Response
capacity
The ability of a community, settlement or ecosystem to adjust to an impact, moderating potential
damages, taking advantage of opportunities and increasing resilience.
Vulnerability The degree to which people, places, institutions and sectors are susceptible to, and unable to cope
with hazards and its impacts.
Frequency Repetition of a disaster risk in a given period.

235. T20 Vulnerability Assessment
Description The objective of the vulnerability assessment is to determine the vulnerability of a city or
neighbourhood to natural hazards, including climate change-induced, depending on the geographical scale
that has been selected for the analysis. Vulnerability - defined as a susceptibility to harm or a potential for
change or transformation—is constituted of three components: exposure, sensitivity and response capacity.
Participants This activity is carried out by the technical team. However, data collection and validation of
information should be done through a participatory process involving local stakeholders.
Instructions
The assessment of local vulnerability to natural hazards and climate change combines information on the
environmental, socio-economic, and institutional context. On the one hand, pre-existing, underlying
vulnerabilities related to the socio-economic context, ecosystems and infrastructure will interact with natural
hazards, including climate changed-induced hazards, impacting risk and vulnerability. On the other hand,
uncertainties about future vulnerability and risks also require following a multiscale approach.
The collection of data, related to historical disasters caused by natural hazards, climate change trends, people
and places, is a prerequisite in order to dispose of the necessary information to analyse the different elements
that compose vulnerability. Also, the vulnerability assessment should build on T17 Impact Chain Diagram and
T16 Participatory Incremental Mapping (PIM).
Community engagement throughout the steps is highly recommended as participatory data collection methods
can help capture the key challenges faced by inhabitants and their perceptions of current and future natural
and climate-related risks. Different methods can be used for this purpose: focus group discussions, household
surveys, neighbourhood walks with community members, etc. Participatory activities proposed in this tool are
marked as “ Optional participatory activities ”. Depending on the time and resources available for the
vulnerability assessment, the technical team should assess how many of the participatory activities proposed
in this tool can be implemented. You may want to use the T20 Vulnerability Assessment ( Digital Tool spreadsheet ) in order to facilitate the
completion of the table in each step.
Definitions
Exposure Presence of people, species and ecosystems that could be adversely affected by hazards.
Sensitivity Degree to which a settlement is adversely or beneficially affected by hazards, including its biophysical
and socioeconomic elements.
Response
capacity
The ability of a community, settlement or ecosystem to adjust to an impact, moderating potential
damages, taking advantage of opportunities and increasing resilience.
Vulnerability The degree to which people, places, institutions and sectors are susceptible to, and unable to cope
with hazards and its impacts.
Frequency Repetition of a disaster risk in a given period.
T20 Vulnerability Assessment
Magnitude
Level of damage caused to infrastructure, population and access to services.
Extension Geographical area of the city that is affected by a hazard.
Tip: The assessment procedure proposed in this tool is only one of many different ways of analysing a city’s
vulnerability to natural hazards. If you wish to go further into understanding the vulnerability of your city, note that
different methods exist, which could be used to complete or substitute the tool presented here. Especially those cities
with greater technical capacity and financial resources may have the opportunity to use additional tools and broaden
their methodology, while cities lacking capacity and resources may take a more basic approach.
Step 1. Hazard identification
This first step will help to identify and analyze previous natural hazards (earthquakes, volcanic eruptions,
landslides) and climate hazards (floods, hurricanes, sea level rise, heat waves, droughts and wildfires), as well
as their trends (current and future temperature and precipitation patterns). Because some technical work is
required to carry out
this first step, you might want to bring in someone with technical disaster risk response
and climate change skills and knowledge. An expert from a local university or a government agency can help
to gather data, interpret historical trends and events and project future trends for climate-related hazards.
1.Review the impact chain diagram and data related to previous disasters and climate (historical and
projected).
2. Identify which are the most relevant natural hazards that have affected to the city by evaluating them
using the categories of frequency, magnitude and exposure in a range of 1 to 5 as shown in the
following table:
Hazard Value: 1 Value: 2 Value: 3 Value: 4 Value: 5
Frequency
Very unlikely to
occur
Unlikely to occur Average probability of
occurrence
High probability of
occurrence
Very High probability
of occurrence
Magnitude
Minimal damage Average
damages
Moderate damage Severe damage Critical damage
Extension
It covers 20% of
the city's
extension.
It covers 40% of
the city's extension.
It covers 60% of the
city's extension.
It covers 80% of the
city's extension.
It covers 100% of
the city's extension.
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6

236. T20 Vulnerability Assessment
Category Hazard Frequency Magnitude Extension Total
Meteorological (M)
Strong winds 0 0 0 0
Hurricanes 0 0 0 0
Heavy rain 0 0 0 0
Cold wave 0 0 0 0
Heat wave 3 1 4 8
Hydrological (H)
Coastal Flood 0 0 0 0
Rain Flood 0 0 0 0
Saline Intrusion 0 0 0 0
Climatological (C)
Drought 4 4 5 12
Fires (urban and wildfire) 0 0 0 0
Geophysical (G)
Landslide 3 5 4 12
Earthquakes 0 0 0 0
Volcanic eruptions 0 0 0 0
Biological (B)
Vector-bone disease 0 0 0 0
Water and air-borne
disease 0 0 0 0
3. Prioritize the level of threat based on the obtained score, a score from 0 to 5 can be considered as
low priority, a score from 5 to 8 as priority and a score from 9 to 15 as high priority.
Step 2. Hazard analysis
1. For each hazard, summarise the information based on the collected data in Columns 1, 2, 3, and 4
of the table below:
○ Column 1: Indicate the type of hazard in this column.
○ Column 2 and 3: What trends or events can be observed and analyzed based on current and historical
data ?
○ Column 4. Based on the T17 Impact Chain Diagram, start thinking about which known vulnerable
groups (urban poor, women, youth, elderly, etc.) are exposed to the identified hazards and how they
might be exposed (e.g., if they live in an area exposed to certain flood risks, such as exposed coastal
areas). Additionally, you can also include preliminary ideas about places, institutions, and sectors that
might also be exposed. Summarize the information in column 4.
Optional participatory activity: During a workshop, involving technical team members and local
stakeholders, address the issue of climate change by discussing local climate-related changes that
participants have experienced and observed in their lives. You can also address the topic of disasters
by discussing disasters that have occurred in the past and have been critical to the city. Summarize
participants' experiences and observations and add to column 3 .

237. T20 Vulnerability Assessment
Category Hazard Frequency Magnitude Extension Total
Meteorological (M)
Strong winds 0 0 0 0
Hurricanes 0 0 0 0
Heavy rain 0 0 0 0
Cold wave 0 0 0 0
Heat wave 3 1 4 8
Hydrological (H)
Coastal Flood 0 0 0 0
Rain Flood 0 0 0 0
Saline Intrusion 0 0 0 0
Climatological (C)
Drought 4 4 5 12
Fires (urban and wildfire) 0 0 0 0
Geophysical (G)
Landslide 3 5 4 12
Earthquakes 0 0 0 0
Volcanic eruptions 0 0 0 0
Biological (B)
Vector-bone disease 0 0 0 0
Water and air-borne
disease 0 0 0 0
3. Prioritize the level of threat based on the obtained score, a score from 0 to 5 can be considered as
low priority, a score from 5 to 8 as priority and a score from 9 to 15 as high priority.
Step 2. Hazard analysis
1. For each hazard, summarise the information based on the collected data in Columns 1, 2, 3, and 4
of the table below:
○ Column 1: Indicate the type of hazard in this column.
○ Column 2 and 3: What trends or events can be observed and analyzed based on current and historical
data ?
○ Column 4. Based on the T17 Impact Chain Diagram, start thinking about which known vulnerable
groups (urban poor, women, youth, elderly, etc.) are exposed to the identified hazards and how they
might be exposed (e.g., if they live in an area exposed to certain flood risks, such as exposed coastal
areas). Additionally, you can also include preliminary ideas about places, institutions, and sectors that
might also be exposed. Summarize the information in column 4.
Optional participatory activity: During a workshop, involving technical team members and local
stakeholders, address the issue of climate change by discussing local climate-related changes that
participants have experienced and observed in their lives. You can also address the topic of disasters
by discussing disasters that have occurred in the past and have been critical to the city. Summarize
participants' experiences and observations and add to column 3 .
T20 Vulnerability Assessment
Column 1 Column 2 Column 3 Column 4
Hazard
Historical Events & Trends
Exposure – Preliminary Notes on
Who and What
Local / Regional r Data Comments from key stakeholders
Drought
Average length of summer dry
periods increased by 15 days in
last 30 years
Summer droughts lasting 4-5
weeks longer most years
- Farmers – reduced crop yields
- City water supply – reduced
reservoir levels
Landslides
It has been identified that the
areas with the highest risk of
landslides and landslides are
located in the southern zone, with
slopes greater than 20°, with a
record of 7 landslides during the
2010-2020 period.
Landslides have increased where
there used to be forest cover and
are more likely to occur in rainy
seasons and where the soil is
more urbanized.
- Road network system adjacent to
bare soil and with high slopes.
- Buildings and homes adjacent to
areas with high slopes.
2. For hydrometeorological hazards (M, H and C from Step 1) aggravated by climate change, the following
table is complementary to consider climate model projections and identify the trend of change in minimum,
average and maximum temperature, annual precipitation levels and sea level rise .
● Column A: Defines the time horizon for climate projections. For climate change analysis, It is common
to use short (years to a few decades), medium (several decades) and long term (century) horizons. You
can review Site-Specific Report (climateinformation.org) to obtain this information in case the city has
not done this type of analysis.
● Column B: Is the level of change expected to increase at a greater rate in the future? Will it decrease?
Remain the same?
● Column C: How likely and confident is it that the projections will actually occur? If data from the IPCC
was used, look for descriptions of “likelihood”. Does the data (evidence) collected support the same
conclusion?
Column A Column B Column C

238. T20 Vulnerability Assessment
Time Horizon
Summary Climate Change Projection
Indicators Projection and Confidence
Short term (less than 10 years)
-Spring/summer in the year 2030
+1.0°C temperature
-15 mm of preicpitation
-15% soil moisture
Generally increasing trend in length of dry
season
- Rate of change is certain
-High confidence
Medium term (between 10 to 50
years)
-Spring/summer in the year 2050
+1.5°C temperature
-20 mm of preicpitation
-18% soil moisture
Generally increasing trend in length of dry
season
- Rate of change is certain
-High confidence
Long term (between 50 to 100 years)
-Spring/summer in the year 2070
+1.9 °C temperature
-23 mm of preicpitation
-20% soil moisture
Generally increasing trend in length of dry
season
- Rate of change is uncertain, but expected to
rise over time
-Medium confidence
○ Extreme weather events are those that worsen in severity and extent, and differ from changes to average
conditions. Extreme events are things like storms and floods that are increasing in frequency and severity. A
change to the average is a linear increase or decrease in precipitation, temperature, sea level rise, etc.
Step 3. Exposure analysis
1. Once the list of hazards has been completed, it is important to understand where these hazards occur (i.e.
the exposed locations), who is affected by the hazards (i.e. the exposed persons) and which activities are
altered by the hazards (i.e. exposed sectors).
2. Review the table completed in step 2 and the outputs of the T16 Participatory Incremental Mapping (PIM).
3. Fill in Column 1 based on the hazards identified in step 1.
4. Based on data and maps, identify hazard areas and exposed features for each hazard. Summarise the
information in Columns 2 to 5. If your city has good geographic information systems (GIS) data and capacity,
create maps that illustrate exposed locations, such as flood plains, areas near to volcanoes, areas with high
slopes, and low-lying areas along the
coast that are subject to storm surges and coastal erosion. These maps
can be overlain with additional map layers illustrating important exposure variables, like population information
(e.g. population density), major infrastructure (major roads, water supply, sanitation, sewerage, bridges), land
uses (e.g. residential [housing], industrial, commercial), critical infrastructure (hospitals, major government
offices), and key environmentally sensitive areas (coastline, wetlands, water bodies, conservation areas).
Optional participatory activity: A household survey can be used in order to gather additional information on
local exposure to natural hazards.This survey can help understand what are the most problematic natural
hazards for households, depending on their location. Additionally, spatial data can be collected in order to

239. T20 Vulnerability Assessment
Time Horizon
Summary Climate Change Projection
Indicators Projection and Confidence
Short term (less than 10 years)
-Spring/summer in the year 2030
+1.0°C temperature
-15 mm of preicpitation
-15% soil moisture
Generally increasing trend in length of dry
season
- Rate of change is certain
-High confidence
Medium term (between 10 to 50
years)
-Spring/summer in the year 2050
+1.5°C temperature
-20 mm of preicpitation
-18% soil moisture
Generally increasing trend in length of dry
season
- Rate of change is certain
-High confidence
Long term (between 50 to 100 years)
-Spring/summer in the year 2070
+1.9 °C temperature
-23 mm of preicpitation
-20% soil moisture
Generally increasing trend in length of dry
season
- Rate of change is uncertain, but expected to
rise over time
-Medium confidence
○ Extreme weather events are those that worsen in severity and extent, and differ from changes to average
conditions. Extreme events are things like storms and floods that are increasing in frequency and severity. A
change to the average is a linear increase or decrease in precipitation, temperature, sea level rise, etc.
Step 3. Exposure analysis
1. Once the list of hazards has been completed, it is important to understand where these hazards occur (i.e.
the exposed locations), who is affected by the hazards (i.e. the exposed persons) and which activities are
altered by the hazards (i.e. exposed sectors).
2. Review the table completed in step 2 and the outputs of the T16 Participatory Incremental Mapping (PIM).
3. Fill in Column 1 based on the hazards identified in step 1.
4. Based on data and maps, identify hazard areas and exposed features for each hazard. Summarise the
information in Columns 2 to 5. If your city has good geographic information systems (GIS) data and capacity,
create maps that illustrate exposed locations, such as flood plains, areas near to volcanoes, areas with high
slopes, and low-lying areas along the coast that are subject to storm surges and coastal erosion. These maps
can be overlain with additional map layers illustrating important exposure variables, like population information
(e.g. population density), major infrastructure (major roads, water supply, sanitation, sewerage, bridges),
land
uses (e.g. residential [housing], industrial, commercial), critical infrastructure (hospitals, major government
offices), and key environmentally sensitive areas (coastline, wetlands, water bodies, conservation areas).
Optional participatory activity: A household survey can be used in order to gather additional information on
local exposure to natural hazards.This survey can help understand what are the most problematic natural
hazards for households, depending on their location. Additionally, spatial data can be collected in order to
T20 Vulnerability Assessment
capture specific locations in the survey, such as houses, water sources, toilet facilities, and other types of
facilities.
5. As a technical team, and if possible with the help of officials from different city departments, identify sectors
that are exposed to natural hazards, summarising the information in Column 6. Sectors that should be taken
into account are: Environment (landscapes, ecosystems), Social (health and nutrition, disaster risk reduction,
education and culture), Infrastructure (water/sanitation, housing/settlements, transportation), Institutional
(policies, plans and procedures, fiscal management, linkages between local government, civil society and the
private sector) and Economy (primary, secondary and tertiary economic activities, formal and informal
activities).
Column 1
(From step 1)
Column 2 Column 3 Column 4 Column 5 Column 6
Hazard
Hazard
Area /
Location
Hazard Area – Exposed Features (People, Places, Institutions)
Exposed Sectors
Exposed People Exposed Places Exposed Institutions
Drought
-
City-wide/R
egion- wide
-
Agricultural
valley
- City reservoir, residents
and businesses
- Farmers (some
subsistence), women
(majority of farm workers
and market sellers)
- City reservoir
- Agricultural production
sites
Local water supply agency
- Energy Agency and
Division of Energy
Managemen
- Water/Sanitation
- Economy (formal &
informal)
- Health
- Agriculture
- Economy (formal &
informal)
- Social
Landslides
-South of
the city, in
the
municipalitie
s
surrounding
the southern
highlands.
-Residents (mainly informal
settlements)
-Road network users
Highway No. 34 at
kilometer 45
-Neighborhoods with
slopes between 18° and
20° located in the areas
closest to the mountain
range. -Communication and
transportation networks
-Housing
-Economy
-Environment: landscape
alteration
-Communication and
transportation networks
-Housing
-Economy
Environment: landscape
alteration
Step 4. Sensitivity and risk analysis
The sensitivity analysis will identify how exposed people, places, institutions and sectors are impacted today
and the degree to which they could be impacted in the future. It will answer different questions: What places,
sectors and institutions are most sensitive in the areas exposed to natural hazards?? Who lives in exposed
locations, and how sensitive are they to their exposure? Are there “hotspots”, or specific areas with multiple
exposures and sensitivities? What degree of change will trigger a significant impact? Are there specific
thresholds of concern?
1. Review the tables completed in steps 2 and 3.
2. Compile data on socio-demographic elements and variables, such as education levels, gender, income
and housing conditions. While not all information can always be presented spatially, some data should be
captured in maps: location of informal settlements, vulnerable populations densities, major infrastructure

240. T20 Vulnerability Assessment
and facilities (hospitals, schools, government buildings, ports, airports, etc.), neighbourhoods located in
exposed areas, sensitive ecosystems (e.g. mangrove forests, coastal dune habitat).
3. Optional participatory activity: Community-based sensitivity mapping and household surveys can be
used to complement and augment the desk-based sensitivity research and mapping. It provides an
opportunity to engage the broader community and vulnerable populations in the sensitivity assessment and
to confirm findings at the local level.
4. Based on the information captured, fill in the table below. Note that much of the information is based on
tables completed in steps 1 and 2. However, don’t hesitate to update this information based on the
findings of step 3.
5. Estimate the risk level and fill in Column 9. This column assesses the risk of the groups identified in
the exposed groups columns. . The sample scale presented below can be used by the technical team
as an example for defining risk levels.
● High = 5
○ Large numbers of serious injuries or loss of lives

○ Regional decline leading to widespread business failure, loss of employment and hardship
○ Major widespread damages and loss to environment and infrastructure, with progressive irrecoverable
damage
○ Local government services would cease to be effective
● Medium-High = 4
○ Isolated instances of serious injuries or loss of lives
○ Regional local economic development impacts and stagnation
○ Severe damages and a danger of continuing damage to infrastructure and environment
○ Local government services struggle to remain effective and would be seen to be in danger of failing
completely
● Medium = 3
○ Small numbers of injuries involving the public
○ Significant general reduction in livelihoods
○ Isolated but significant instances of environmental and infrastructure damage that might be reversed with
intensive efforts
○ Local government services under severe pressure on several fronts
● Medium-Low = 2
○ Minor injuries to public
○ Individually significant but isolated livelihood impacts
○ Minor instances of environmental and infrastructure damage that could be reversed
○ Isolated instances of government services being under severe pressure
● Low = 1
○ Appearance of a threat but no actual harm to public safety
○ Minor impact on livelihoods
○ No or insignificant infrastructure and environmental damage
○ Minor instances of disruption to local government services
○
Column 1
(From step
1)
Column 2
(From
Impact
Column 3
(From step 3)
Column 4
(From step
3)
Column 5
(From step 3)
Column 6
(From step 3)
Column 7
(From step 2)
Column 8 Column 9

241. T20 Vulnerability Assessment
and facilities (hospitals, schools, government buildings, ports, airports, etc.), neighbourhoods located in
exposed areas, sensitive ecosystems (e.g. mangrove forests, coastal dune habitat).
3. Optional participatory activity: Community-based sensitivity mapping and household surveys can be
used to complement and augment the desk-based sensitivity research and mapping. It provides an
opportunity to engage the broader community and vulnerable populations in the sensitivity assessment and
to confirm findings at the local level.
4. Based on the information captured, fill in the table below. Note that much of the information is based on
tables completed in steps 1 and 2. However, don’t hesitate to update this information based on the
findings of step 3.
5. Estimate the risk level and fill in Column 9. This column assesses the risk of the groups identified in
the exposed groups columns. . The sample scale presented below can be used by the technical team
as an example for defining risk levels.
● High = 5
○ Large numbers of serious injuries or loss of lives
○ Regional decline leading to widespread business failure, loss of employment and hardship
○ Major widespread damages and loss to environment and infrastructure, with progressive irrecoverable
damage
○ Local government services would cease to be effective
● Medium-High = 4
○ Isolated instances of serious injuries or loss of lives
○ Regional local economic development impacts and stagnation
○ Severe damages and a danger of continuing damage to infrastructure and environment
○ Local government services struggle to remain effective and would be seen to be in danger of failing
completely
● Medium = 3
○ Small numbers of injuries involving the public
○ Significant general reduction in livelihoods
○ Isolated but significant instances of environmental and infrastructure damage that might be reversed with
intensive efforts
○ Local government services under severe pressure on several fronts
● Medium-Low = 2
○ Minor injuries to public
○ Individually significant but isolated livelihood impacts
○ Minor instances of environmental and infrastructure damage that could be reversed
○ Isolated instances of government services being under severe pressure
● Low = 1
○ Appearance of a threat but no actual harm to public safety
○ Minor impact on livelihoods
○ No or insignificant infrastructure and environmental damage
○ Minor instances of disruption to local government services
○
Column 1
(From step
1)
Column 2
(From
Impact
Column 3
(From step 3)
Column 4
(From step
3)
Column 5
(From step 3)
Column 6
(From step 3)
Column 7
(From step 2)
Column 8 Column 9
T20 Vulnerability Assessment
Chain
Diagram)
Hazard
Primary /
Secondary
Impacts
Hazard Area – Exposed Features
Exposed
Sectors
Exposure
(Likely scenario
for 20 year
planning
horizon)
Potential Future
Consequences
(with no additional
climate and disaster
risk reduction planning)
Risk
level Exposed
People
Exposed
Places
Exposed
Institutions
Drought - Reduced
water supply
- Reduced
power
generation
-
Reduced
agricultural
production
- Residents
- Farmers
(some
subsistence),
women
(majority of
farm workers
and market
sellers)
- City
reservoir
- Agricultural
production
sites
- Local water
supply
agency
- Energy
Agency and
Division of
Energy
Management
- Water and
Sanitation
- Economy
(formal &
informal)
-
Agriculture
- Economy
(formal and
informal)
-
Health
- 1°C
temperature
increase
- 15 mm
precipitation
decrease
- 18% soil
moisture
decrease
- Generally
increasing trend
in length of dry
season
- Rate of change
is uncertain, but
expected to rise
over time
- Subsistence farmers
will have reduced
incomes – decreased
income per person,
difficult to reach
development goals
- Increased rural to urban

migration of farmers – potential stresses on city services and infrastructure - Agricultural plan
already calls for research into drought resistance crops, could lessen the impact - More frequent power
outages in dry season + more power outages as dry season lengthens – impacts on businesses and commerce
High (5)
-Lanslides -Interruption
of transport
on the road
network.
-Damage to
public urban
infrastructur
e
-Damage to
the dwelling
.
-Residents
(mainly
informal
settlements)
-Road
network
users
-South of
the city, in
the
municipalitie
s
surrounding
the southern
highlands.
- Highway
No. 34 at
kilometer 45
over the hill
-Neighborho
ods located
in the most
mountainou
s areas with
slopes
between 18°
and 20°
.
- Ministry of
Communicati
on and
Transportatio
n.
-Ministry of
Development
and Urban
Planning.
-Ministry of
Housing
-Communica
tion and
transportatio
n networks
-Housing
-Economy
-Environmen
t: landscape
alteration
-Not applies - Consistency of latent probability of loss of life and damage in the areas with the highest exposure.
-Latent risk of damage to
public and private
infrastructure, including
roads, housing, public
spaces.
-Latent risk of road traffic
interruptions and
rerouting.
Medium
(3)

242. T20 Vulnerability Assessment
Step 5. Response capacity analysis
Knowing the exposure and sensitivity of your city to natural hazards, the next step is to determine how well
people, places, institutions and sectors could adapt to these hazards Response capacity includes adjustments
in both behaviour and resources/technologies, and can be assessed at different levels : at individual and
household level, at community level and at government/institutional level.
1. Collect, review and summarise existing plans, policies and reports that can help to develop an
understanding of the response capacities at different levels. This could include information on disaster risk
reduction plans and strategies, land use plans, economic development strategies, National Adaptation
Plans, etc.
2. Optional participatory activity: During a workshop, involving members of the technical team and local
stakeholders, discuss how individuals and households, communities and governments have traditionally
responded to extreme events and disasters.
3. Organise six working groups in order to elaborate on the response capacity factors for the different
naturalhazards. The working groups should bring together members of the technical team and officials
from different city departments.
○ Working Group 1 - Wealth: What financial resources are available to address each hazard?
○ Working Group 2 - Technology: What technology and related resources are available to address each
hazard?
○ Working Group 3 - Institutions: What institutions or teams are addressing each hazard? What policies
already exist?
○ Working Group 4 - Infrastructure: What infrastructure is available to address each hazard?
○ Working Group 5 - Information: What is the level of knowledge on each hazard? Is it distributed to the
people who need it?
○ Working Group 6 - Social Capital: What social capital is available that could address the impacts from each
hazard (e.g Presence of NGOs, Neighborhood Watch Groups, Communities response to Civil Protection
Mechanisms,Community-Based Disaster Response Teams)?
4. Summarise the information in the table below. Use a scale from low to high (1 to 5) to assess response
capacity relative to each natural hazard. Be sure that all members of the technical team agree to a
common definition of what constitutes the low-medium-high score.
5. Calculate the average response capacity score (Column 8) for each hazard by adding the scores from
columns 2 through 7 and dividing the sum by the number of factors (6).
Column 1
(From step 1)
Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
Hazard Wealth Technology Institutions Infrastructure Information Social Capital
Average Response
Capacity Score
T20 Vulnerability Assessment
Drought
- Farmers
have low
incomes
- Low
government
funds for
assistance - New drought
resistant crop
types being
tested locally
- Agriculture
ministry has
been
responsive to
droughts in the
past
- Multiple local
agricultural
NGOs with high
capacity
- Good
irrigation
systems on
most farms
- Information
on drought
resistant
crops is not
disseminated
well to
farmers
- Farmers’
cooperatives
and
networking
groups share
information
Low (1) Medium-High (4) Medium-High (4) Medium (3) Medium (3) Medium (3) 18/6 = 3
Landsli
des
-The
government
has limited
funds to
reduce the risk
of landslide
disasters
There is no
technology such
as nets to
reduce
landslides
-Civil Protection
has a mechanism
to respond to the
risk of landslides
-The exposed
infrastructure is
made of
materials with
high resistance
to mechanical
impacts caused
by landslides
- Information is
available on
the areas with
the highest risk
of landslides
and
settlements
exposed to
landslides.
- Vulnerable
communities
do not know
how to
respond
through civil
protection
instructions to
the disaster
caused by a
landslide.
Low (1) Low(1) Medium(3) Medium-high (4) Medium-high (4) Medium-low(2) 15/6= 2.5
Step 6. Summary review
The summary vulnerability table represents a synthesis of your Vulnerability Assessment, which should help
identify the highest priorities. Keep in mind that this is measuring vulnerability – so a high final score indicates
high vulnerability and a low score indicates low vulnerability. The relative vulnerability is highest when there is a
combination of high risk level and low response capacity.
1. Use the table below to bring together information from steps 4 and 5.
2. Finally, calculate the relative vulnerability by dividing the risk level by the response capacity.
Column 1
(From step 1)
Column 2
(From step 3)
Column 3
(From step 4)
Column 4
Hazard Risk Level
Hazard-specific Response
Capacity Status
Relative Vulnerability
(Risk Level divided by
Response Capacity)
Drought 5 3 5÷3=1.7

243. T20 Vulnerability Assessment
Step 5. Response capacity analysis
Knowing the exposure and sensitivity of your city to natural hazards, the next step is to determine how well
people, places, institutions and sectors could adapt to these hazards Response capacity includes adjustments
in both behaviour and resources/technologies, and can be assessed at different levels : at individual and
household level, at community level and at government/institutional level.
1. Collect, review and summarise existing plans, policies and reports that can help to develop an
understanding of the response capacities at different levels. This could include information on disaster risk
reduction plans and strategies, land use plans, economic development strategies, National Adaptation
Plans, etc.
2. Optional participatory activity: During a workshop, involving members of the technical team and local
stakeholders, discuss how individuals and households, communities and governments have traditionally
responded to extreme events and disasters.
3. Organise six working groups in order to elaborate on the response capacity factors for the different
naturalhazards. The working groups should bring together members of the technical team and officials
from different city departments.
○ Working Group 1 - Wealth: What financial resources are available to address each hazard?
○ Working Group 2 - Technology: What technology and related resources are available to address each
hazard?
○ Working Group 3 - Institutions: What institutions or teams are addressing each hazard? What policies
already exist?
○ Working Group 4 - Infrastructure: What infrastructure is available to address each hazard?
○ Working Group 5 - Information: What is the level of knowledge on each hazard? Is it distributed to the
people who need it?
○ Working Group 6 - Social Capital: What social capital is available that could address the impacts from each
hazard (e.g Presence of NGOs, Neighborhood Watch Groups, Communities response to Civil Protection
Mechanisms,Community-Based Disaster Response Teams)?
4. Summarise the information in the table below. Use a scale from low to high (1 to 5) to assess response
capacity relative to each natural hazard. Be sure that all members of the technical team agree to a
common definition of what constitutes the low-medium-high score.
5. Calculate the average response capacity score (Column 8) for each hazard by adding the scores from
columns 2 through 7 and dividing the sum by the number of factors (6).
Column 1
(From step 1)
Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
Hazard Wealth Technology Institutions Infrastructure Information Social Capital
Average Response
Capacity Score
T20 Vulnerability Assessment
Drought
- Farmers
have low
incomes
- Low
government
funds for
assistance - New drought
resistant crop types being tested locally
- Agriculture
ministry has been responsive to droughts in the past - Multiple local
agricultural NGOs with high capacity
- Good
irrigation systems on most farms
- Information
on drought resistant crops is not disseminated well to farmers
- Farmers’
cooperatives
and
networking
groups share
information
Low (1) Medium-High (4)
Medium-High (4) Medium (3) Medium (3) Medium (3) 18/6 = 3
Landsli
des
-The
government
has limited
funds to
reduce the risk
of landslide
disasters
There is no
technology such
as nets to
reduce
landslides
-Civil Protection
has a mechanism
to respond to the
risk of landslides
-The exposed
infrastructure is
made of
materials with
high resistance
to mechanical
impacts caused
by landslides
- Information is
available on
the areas with
the highest risk
of landslides
and
settlements
exposed to
landslides.
- Vulnerable communities do not know how to respond through civil protection instructions to the disaster caused by a landslide.
Low (1) Low(1) Medium(3) Medium-high (4) Medium-high (4) Medium-low(2) 15/6= 2.5
Step 6. Summary review
The summary vulnerability table represents a synthesis of your Vulnerability Assessment, which should help
identify the highest priorities. Keep in mind that this is measuring vulnerability – so a high final score indicates
high vulnerability and a low score indicates low vulnerability. The relative vulnerability is highest when there is a
combination of high risk level and low response capacity.
1. Use the table below to bring together information from steps 4 and 5.
2. Finally, calculate the relative vulnerability by dividing the risk level by the response capacity.
Column 1
(From step 1)
Column 2
(From step 3)
Column 3
(From step 4)
Column 4
Hazard Risk Level
Hazard-specific Response
Capacity Status
Relative Vulnerability
(Risk Level divided by
Response Capacity)
Drought 5 3 5÷3=1.7

244. T20 Vulnerability Assessment
Landslides 3 2.5 3÷2.5=1.2 3
T21 S.W.O.T. Analysis
Description The Strength, Weaknesses, Opportunities and Threats (S.W.O.T) analysis is a useful tool to
review and analyse the data collected from two perspectives: internal factors (strength and weakness) and
external factors (opportunities and threats). It helps to define actions by outlining the positive and negative
aspects of the city through a visual diagram.
Participants This activity is carried out by the technical team, the advisory committee and key stakeholders.
Instructions
It is important that the facilitators have a clear understanding of what each of the items of the S.W.O.T. analysis
is to be able to guide the participants and perform it correctly.
The internal factors are those which the municipality has some control to influence.
● Strengths are the advantages of the city and what makes it special. They are the major assets which
the city can use to further improve the quality of life for all. Examples: low mortality rates, clean
environment, high percentage of green spaces, flexible water infrastructure, good public service
coverage (housing, sanitation, etc.).
● Weaknesses are the problems of the city and what restricts its development. They are the major
challenges the city has to overcome through actions. Examples: high unemployment rates,
environmental pollution, high violence levels, high/data gaps on local climate vulnerability, etc.
The external factors are those which the municipality has limited or no control over but needs to be aware of.
● Opportunities are the external and hidden assets that can be worked upon to become strengths.
Examples: high touristic potential, availability of resourceful companies, financial
opportunities in order
to finance climate action, etc.
● Threats are the external problems that may affect the development to limit their consequences, action
must be taken. Example: urban conflicts between groups, poorly constructed housing in seismic
zones, shrinking of private business with increased unemployment, coastal areas highly exposed to sea
level rise and storms, etc.
Step 1. Intr oduction
In this step, the planning team will introduce the tool.
1. Explain to the participants that the objective of the analysis is to identify the challenges and opportunities
through strengths, weaknesses, opportunities and threats in the city.
2. Explain the definition of strengths, weaknesses, opportunities and threats
3. Set the printed S.W.O.T Analysis printable template on a board where all the participants are able to see it.
4. Provide the participants with pens and coloured sticky notes (one colour for each thematic - e.g. natural
environment, economy, etc.).
Tip: For in-person workshops, print the S.W.O.T. Analysis printable template at the end of this tool. For online
workshops, prepare similar boards on platforms that enable participation, such as Miro. See the Workshop Checklist
(T7) tool for more details.

245. T20 Vulnerability Assessment
Landslides 3 2.5 3÷2.5=1.2 3
T21 S.W.O.T. Analysis
Description The Strength, Weaknesses, Opportunities and Threats (S.W.O.T) analysis is a useful tool to
review and analyse the data collected from two perspectives: internal factors (strength and weakness) and
external factors (opportunities and threats). It helps to define actions by outlining the positive and negative
aspects of the city through a visual diagram.
Participants This activity is carried out by the technical team, the advisory committee and key stakeholders.
Instructions
It is important that the facilitators have a clear understanding of what each of the items of the S.W.O.T. analysis
is to be able to guide the participants and perform it correctly.
The internal factors are those which the municipality has some control to influence.
● Strengths are the advantages of the city and what makes it special. They are the major assets which
the city can use to further improve the quality of life for all. Examples: low mortality rates, clean
environment, high percentage of green spaces, flexible water infrastructure, good public service
coverage (housing, sanitation, etc.).
● Weaknesses are the problems of the city
and what restricts its development. They are the major
challenges the city has to overcome through actions. Examples: high unemployment rates,
environmental pollution, high violence levels, high/data gaps on local climate vulnerability, etc.
The external factors are those which the municipality has limited or no control over but needs to be aware of.
● Opportunities are the external and hidden assets that can be worked upon to become strengths.
Examples: high touristic potential, availability of resourceful companies, financial opportunities in order
to finance climate action, etc.
● Threats are the external problems that may affect the development to limit their consequences, action
must be taken. Example: urban conflicts between groups, poorly constructed housing in seismic
zones, shrinking of private business with increased unemployment, coastal areas highly exposed to sea
level rise and storms, etc.
Step 1. Intr oduction
In this step, the planning team will introduce the tool.
1. Explain to the participants that the objective of the analysis is to identify the challenges and opportunities
through strengths, weaknesses, opportunities and threats in the city.
2. Explain the definition of strengths, weaknesses, opportunities and threats
3. Set the printed S.W.O.T Analysis printable template on a board where all the participants are able to see it.
4. Provide the participants with pens and coloured sticky notes (one colour for each thematic - e.g. natural
environment, economy, etc.).
Tip: For in-person workshops, print the S.W.O.T. Analysis printable template at the end of this tool. For online
workshops, prepare similar boards on platforms that enable participation, such as Miro. See the Workshop Checklist
(T7) tool for more details.

246. T21 S.W.O.T. Analysis
Step 2. Br ainst orming and Analysis
In this step, participants will identify the main strengths, weaknesses, opportunities and threats. The exercise
should cover a good range of themes such as natural environment, economy, health, etc.
1. Ask participants to write down the strengths , reminding them of the presentation and guiding them to
think about their own knowledge/experience in the city. After that, ask participants to share their answers,
collect their coloured sticky notes and add them to the matrix. Similar answers should be clustered.
Tip: Use the following guiding questions to stimulate discussion and brainstorming. Adapt the questions to each
thematic.
● What are the city’s advantages?
● What does the city do exceptionally well?
● What are the relevant assets and resources in the city?
● What does the general public and population consider as the city's strengths?
2. Ask participants to write down the weaknesses . After that, ask participants to share their answers, collect
their coloured sticky notes and add them to the matrix.
Tip: Use the following guiding questions to stimulate discussion and brainstorming. Adapt the questions to each
thematic.
● What could be improved?
● What are the major problems in the city?
● What are the vulnerabilities?
● What makes it hard for the city to be resilient?
3. Ask participants to write down the opportunities . After that, ask participants to share their answers,

collect their coloured sticky notes and add them to the matrix.
Tip: Use the following guiding questions to stimulate discussion and brainstorming. Adapt the questions to each
thematic.
● What opportunities are there to improve life in the city?
● What are the emerging trends you are aware of regarding changes in the government policy, social patterns,
population profiles, economic development, lifestyles, etc.?
4. Ask participants to write down the threats . After that, ask participants to share their answers, collect their
coloured sticky notes and add them to the matrix.
Tips: Use the following guiding questions to stimulate discussion and brainstorming. Adapt the questions to each
thematic.
● Are the weaknesses likely to make the city vulnerable?
● What are the external challenges that inhibit development or a better life?
● Are there any significant expected changes in the city?
● Are there economic conditions affecting urban life?
5. When the matrix is complete, discuss each of the statements to validate them. Eliminate repeated ones
and those considered irrelevant by consensus.

247. T21 S.W.O.T. Analysis
Step 2. Br ainst orming and Analysis
In this step, participants will identify the main strengths, weaknesses, opportunities and threats. The exercise
should cover a good range of themes such as natural environment, economy, health, etc.
1. Ask participants to write down the strengths , reminding them of the presentation and guiding them to
think about their own knowledge/experience in the city. After that, ask participants to share their answers,
collect their coloured sticky notes and add them to the matrix. Similar answers should be clustered.
Tip: Use the following guiding questions to stimulate discussion and brainstorming. Adapt the questions to each
thematic.
● What are the city’s advantages?
● What does the city do exceptionally well?
● What are the relevant assets and resources in the city?
● What does the general public and population consider as the city's strengths?
2. Ask participants to write down the weaknesses . After that, ask participants to share their answers, collect
their coloured sticky notes and add them to the matrix.
Tip: Use the following guiding questions to stimulate discussion and brainstorming. Adapt the questions to each
thematic.
● What could be improved?
● What are the major problems in the city?
● What are the vulnerabilities?
● What makes it hard for the city to be resilient?
3. Ask participants to write down the opportunities . After that, ask participants to share their answers,
collect their coloured sticky notes and add them to the matrix.
Tip: Use the following guiding questions to stimulate discussion and brainstorming. Adapt the questions to each
thematic.
● What opportunities are there to improve life in the city?
● What are the emerging trends you are aware of regarding changes in the government policy, social patterns,
population profiles, economic development, lifestyles, etc.?
4. Ask participants to write down the threats . After that, ask participants to share their answers, collect their
coloured sticky notes and add them to the matrix.
Tips: Use the following guiding questions to stimulate discussion and brainstorming. Adapt the questions to each
thematic.
● Are the weaknesses likely to make the city vulnerable?
● What are the external challenges that inhibit development or a better life?
● Are there any significant expected changes in the city?
● Are there economic conditions affecting urban life?
5. When the matrix is complete, discuss each of the statements to validate them. Eliminate repeated ones
and those considered irrelevant by consensus.
T21 S.W.O.T. Analysis
6. The S.W.O.T. Analysis table is complete. Document the results (take pictures).
Step 2. Mapping
In this step, participants will develop a Constraints and Opportunities Map based on the discussions of the
S.W.O.T Analysis (keep the board where everyone can see it).
1. Divide the participants in small groups. Hand out a basic map of the city and pens of 2 different colours
(preferably red and green) to each group.
2. Explain that Weaknesses and Threats should be indicated in the same colour (to be called Constraints),
and Strengths and Opportunities in another colour (to be called Opportunities).
3. Read all Strengths and Opportunities (one by one) and ask the groups to indicate where they are located
on the city map.
4. Read all Weaknesses and Threats (one by one) and ask the groups to indicate where they are located on
the city map.
5. Ask each group to present their results and facilitate the discussion.
6. Gather the maps developed by the groups.
7. Document the results (take pictures).

248. T21 S.W.O.T. Analysis T22 Scenario Building Narratives
Description This tool guides the creation of narratives to describe different development scenarios, taking in
consideration the strengths, weaknesses, opportunities and threats that the city faces.
Participants This activity is carried out by the technical team and the advisory committee.
Instructions
1. Before starting, review the outputs of the T21 S.W.O.T. Analysis. Have a printed version for consultation
during the activity.
2. Write down ideas for each of the following scenarios, taking in consideration the strengths and weaknesses
of the S.W.O.T. Analysis. Use coloured sticky notes or write down the ideas on a board or paper.
Strategic Development Scenarios
Current tendencies scenario What would the city look like if the current strengths and weaknesses persist?
E.g. The city is a large datacenter hub but this has not led to significant local benefits.
While economic growth figures are good, job creation is limited to high tech,
high-skilled jobs and so unemployment remains stubbornly high. Unequal access to
public services, out-migration and income inequality are hallmarks of the region.
Optimistic scenario How would the city look if its strengths and weaknesses meet its opportunities?
E.g. The city is a technology cluster and successful datacenter community in the whole
region. The high environmental ambitions are fulfilled and data centres are part of an
innovative, collaborative and diverse local/regional business community. The social
transformation has gained speed resulting in an education system that supports the
workforce, low unemployment and the integration of immigrants into society.
Pessimistic scenario How would the city look if its strengths and weaknesses meet its threats?
E.g. The aim and ambitions with the establishment of datacenters in the region fails.
They are built but fast data storage technological development makes them quickly
redundant. The level of low educated inhabitants and high unemployment increases
even further in the region. Social unrest, due to the lack of integration of immigrants and
the lack of public funding, occurs. Environmental projects are low- prioritised in favour
of handling social issues.
3. Divide participants into smaller groups and use the ideas proposed in the previous step to draft a narrative
(paragraph) for each of the scenarios. Use the table below as guidance.
Strengths Weaknesses
Status quo Current tendencies scenario
….………………..…………………………...……..…………………………..……………………….... .......
….………………..…………………………...……..…………………………..……………………….... .......

249. T21 S.W.O.T. Analysis T22 Scenario Building Narratives
Description This tool guides the creation of narratives to describe different development scenarios, taking in
consideration the strengths, weaknesses, opportunities and threats that the city faces.
Participants This activity is carried out by the technical team and the advisory committee.
Instructions
1. Before starting, review the outputs of the T21 S.W.O.T. Analysis. Have a printed version for consultation
during the activity.
2. Write down ideas for each of the following scenarios, taking in consideration the strengths and weaknesses
of the S.W.O.T. Analysis. Use coloured sticky notes or write down the ideas on a board or paper.
Strategic Development Scenarios
Current tendencies scenario What would the city look like if the current strengths and weaknesses persist?
E.g. The city is a large datacenter hub but this has not led to significant local benefits.
While economic growth figures are good, job creation is limited to high tech,
high-skilled jobs and so unemployment remains stubbornly high. Unequal access to
public services, out-migration and income inequality are hallmarks of the region.
Optimistic scenario How would the city look if its strengths and weaknesses meet its opportunities?
E.g. The city is a technology cluster and successful datacenter community in the whole
region. The high environmental ambitions are fulfilled and data centres are part of an
innovative, collaborative and diverse local/regional business community. The social
transformation has gained speed resulting in an education system that supports the
workforce, low unemployment and the integration of immigrants into society.
Pessimistic scenario How would the city look if its strengths and weaknesses meet its threats?
E.g. The aim and ambitions with the establishment of datacenters in the region fails.
They are built but fast data storage technological development makes them quickly
redundant. The level of low educated inhabitants and high unemployment increases
even further in the region. Social unrest, due to the lack of integration of immigrants and
the lack of public funding, occurs. Environmental projects are low- prioritised in favour
of handling social issues.
3. Divide participants into smaller groups and use the ideas proposed in the previous step to draft a narrative
(paragraph) for each of the scenarios. Use the table below as guidance.
Strengths Weaknesses
Status quo Current tendencies scenario
….………………..…………………………...……..…………………………..……………………….... .......
….………………..…………………………...……..…………………………..……………………….... .......

250. T22 Scenario Building Narratives
….………………..…………………………...……..…………………………..……………………….... .......
….………………..…………………………...……..…………………………..……………………….... .......
Opportunities Optimistic scenario
….………………..…………………………...……..…………………………..……………………….... .......
….………………..…………………………...……..…………………………..……………………….... .......
….………………..…………………………...……..…………………………..……………………….... .......
….………………..…………………………...……..…………………………..……………………….... .......
Threats Pessimistic scenario
….………………..…………………………...……..…………………………..……………………….... .......
….………………..…………………………...……..…………………………..……………………….... .......
….………………..…………………………...……..…………………………..……………………….... .......
….………………..…………………………...……..…………………………..……………………….... .......
4. Each group shares their drafted narrative. Then participants discuss to reach consensus on the one they
think is more adequate for each scenario.
Tip: Give out three voting dots (stickers) to each participant. Each one places a sticker on the narrative they think most
adequate for each of the scenarios (current, optimistic and pessimistic). Select the narratives that have more voting
dots and discuss if they are the most adequate ones and why.

251. T23 Constraints, Challenges and Opportunity,
and Suitability Maps
Description This tool guides the elaboration of constraints, challenges and opportunity, and suitability
maps, taking in consideration the strengths, weaknesses, opportunities and threats that the city faces.
Participants This activity is carried out by the technical team and the advisory committee.
Instructions
1. Before starting, review the outputs of the data collection, T21 S.W.O.T. Analysis and T16 Participatory
Incremental Mapping. Have a printed version for consultation during the activity.
2. The project team should combine thematic layers collected during the data collection process (such as
environmental assets, historical and cultural buildings or centres, informal settlements, commercial areas,
infrastructures, open spaces, social services, etc) and produce a base map to identify and spatialise
constraints and opportunities.
3. Divide participants into smaller groups and present the map definitions using the table below as guidance.
Maps definition
Constraints Map Describe the dynamics and current tendencies scenario in different areas of the city.
What are the areas with land use restrictions, high climate vulnerability, infrastructure constraints,
lack of services, important characteristics of the city?
A constraints map is a useful tool for graphically depicting the land use and environmental
constraints that limits the desirable area for development. The map facilitates better tradeoff
analysis when considering multiple aspects.
Suitability map Identify suitable areas with spatial patterns of requirements, preferences, or predictors of specific
activities. The suitability map localises different patterns and characteristics associated with
specific typology or land-use.
Additionally, the suitable areas for expansion will be based on the T18 Urban Expansion
Projections.
Spatial
challenges/
opportunity map
Identify and spatialise, based on the S.W.O.T analysis and the spatial analysis, the challenges and
opportunities in the city.
4. Using coloured sticky notes and markers, draw and/or write down the ideas and spatialise the elements
into a printed base map, taking in consideration the strengths and weaknesses of the S.W.O.T. Analysis,
as
well as the results of the spatial analysis.
5. Each group presents the final maps. Then participants discuss to reach consensus on the elements for
each of them, developing joint constraints and suitability maps.

252. T23 Constraints, Challenges and Opportunity,
and Suitability Maps
Tip: Give out three voting dots (stickers) to each participant. Each one places a sticker on the elements on each of the
maps they think are more important. Discuss those that have more voting dots and consolidate them into final maps.
These can be systematised by the technical team after the activity.

253. T23 Constraints, Challenges and Opportunity,
and Suitability Maps
Tip: Give out three voting dots (stickers) to each participant. Each one places a sticker on the elements on each of the
maps they think are more important. Discuss those that have more voting dots and consolidate them into final maps.
These can be systematised by the technical team after the activity.
T24 Strategic Visioning Workshop Guide
Description This tool guides the Strategic Visioning Workshop, in which the vision, goals, and targets for
the Strategic Development Plan are developed. The workshop can take place in one day or can be divided
into two days (Step 2 in Day 1, and Step 3 in Day 2).
Participants This activity is carried out by the technical team, the advisory committee, the steering
committee, and other key stakeholders.
Instructions
Step 1. Formulate a Vision (Workshop - Part 1)
This is the first part (or Day 1) of the workshop. The strategic vision is defined for a specific time frame (e.g. By
2030) and it is composed of four components: image, purpose, mission, and values.
1. In plenary, the technical team shares a presentation that includes:
The key takeaways and considerations from the Matrix of References.
The outputs of previous planning activities that are relevant to formulate the vision of the city (City
Profile report, T21 S.W.O.T. Analysis, T16 Participatory Incremental Planning (PIM), T15 Matrix of
Functions (MoF), etc.)
The definition of the vision and its four components.
2. Divide participants into smaller groups, according to the 2030 Agenda Sustainable Urban Development
5/6Ps (People/Planet/Partnerships/Prosperity/Peace/Planning). Ensure diversity according to sectors,
organisations, committees, gender, age, etc.
○ People: this group should look at issues related to poverty, health, culture, education, and the place of
vulnerable people within the city (people with disabilities, migrants, women and children).
○ Planet: this group should concentrate on issues regarding ecosystem conservation and climate change
mitigation and adaptation, taking into account the results of the vulnerability assessment, if one has been
conducted.
○ Partnerships: this group should look at current and possible partnerships with private or public stakeholders,
members of the civil society, academia and regional/international organisations, as well as issues related to
governance and participation.

254. T24 Strategic Visioning Workshop Guide
○ Prosperity: this group should discuss issues related to the local and regional economy, including the formal and
informal sectors, industry inputs (e.g., energy, labour) and outputs (e.g., products, waste), and gender equality in
the work environment.
○ Peace: this group should consider issues related to conflits (local, regional or national), crime, domestic violence,
and law enforcement.
○ Planning: this group should consider the physical urban structure and elements of the city.
3. Participants brainstorm ideas for each of the vision components (puzzle pieces) using the guiding
questions below. Use coloured sticky notes and consolidate them on a larger board or piece of paper.
Tip: The guiding questions can be adapted according to the Strategic Plan's objective (for example, if the vision is not
defined for the whole city but for a specific sector, intervention area, for a new public space, etc.). Additionally, the
group thematics can be changed, for example, according to the main findings in the analysis and diagnostic.
To make it a more participatory process and include more perspectives in the formulation of the city's vision, this
information can be
previously collected from the city's residents. This can be done by, for example, using a survey,
making interventions in public spaces where people can leave their comments, inviting citizens to send videos in which
they describe their vision of the city, etc. The data gathered is systematised before the Visioning Workshop and is
shared with participants to use as input for this activity.
Vision
Image How would you like your city to be in 2030? E.g. sustainable, safe, prosperous, resilient, etc.
Purpose What is the city's purpose? How does it serve its inhabitants? E.g. better quality of life, equitable
opportunities for all, inclusion, etc.
Mission What actions should be taken to reach that purpose in the defined time frame? E.g. participation, clear
governance structure, etc.
Values What convictions and beliefs should guide the city's actions? What are the values that define the city's
identity? E.g. strengths of the city's identity, participative and engaged communities, etc.
4. Each group uses the ideas gathered to formulate a sentence (the vision) that describes and represents
their future city. This is written down on a large piece of paper.
Examples
● By 2030, San Nicolás de los Garza is a safe, innovative, exemplary, participatory, inclusive, sustainable, and resilient
city focused on providing equal opportunities and improving the quality of life for all people, through a model of
participatory governance, community leadership, and co-responsibility guided by its pride, identity and history.
● By 2030, Bissau will be a socially inclusive city
with a sustainable urban development which is compact and
resilient to climate change, functioning as a catalyst for the country’s economic development.
5. Each group selects one member to share their vision with the rest of participants. All visions are compiled
on a board so everyone can see them.
6. Participants have a facilitated discussion on all the proposed visions, giving their feedback and opinions.
Then, they vote on the version they think is best (it can be one or two visions). They can also merge some
of the proposed visions and create a new one.

255. T24 Strategic Visioning Workshop Guide
○ Prosperity: this group should discuss issues related to the local and regional economy, including the formal and
informal sectors, industry inputs (e.g., energy, labour) and outputs (e.g., products, waste), and gender equality in
the work environment.
○ Peace: this group should consider issues related to conflits (local, regional or national), crime, domestic violence,
and law enforcement.
○ Planning: this group should consider the physical urban structure and elements of the city.
3. Participants brainstorm ideas for each of the vision components (puzzle pieces) using the guiding
questions below. Use coloured sticky notes and consolidate them on a larger board or piece of paper.
Tip: The guiding questions can be adapted according to the Strategic Plan's objective (for example, if the vision is not
defined for the whole city but for a specific sector, intervention area, for a new public space, etc.). Additionally, the
group thematics can be changed, for example, according to the main findings in the analysis and diagnostic.
To make it a more participatory process and include more perspectives in the formulation of the city's vision, this
information can be previously collected from the city's residents. This can be done by, for example, using a survey,
making interventions in public spaces where people can leave their comments, inviting citizens to send videos in which
they describe their vision of the city, etc. The data gathered is systematised before the Visioning Workshop and is
shared with participants to use as input for this activity.
Vision
Image How would you like your city to be in 2030? E.g. sustainable, safe, prosperous, resilient, etc.
Purpose What is the city's purpose? How does it serve its inhabitants? E.g. better quality of life, equitable
opportunities for all, inclusion, etc.
Mission What actions should be taken to reach that purpose in the defined time frame? E.g. participation, clear
governance structure, etc.
Values What convictions and beliefs should guide the city's actions? What are the values that define the city's
identity? E.g. strengths of the city's identity, participative and engaged communities, etc.
4. Each group uses the ideas gathered to formulate a sentence (the vision) that describes and represents
their future city. This is written down on a large piece of paper.
Examples
● By 2030, San Nicolás de los Garza is a safe, innovative, exemplary, participatory, inclusive, sustainable, and resilient
city focused on providing equal opportunities and improving the quality of life for all people, through a model of
participatory governance, community leadership, and co-responsibility guided by its pride, identity and history.
● By 2030, Bissau will be a socially inclusive city with a sustainable urban development which is compact and
resilient to climate change, functioning as a catalyst for the country’s economic development.
5. Each group selects one member to share their vision with the rest of participants. All visions are compiled
on a board so everyone can see them.
6. Participants have a facilitated discussion on all the proposed visions, giving their feedback and opinions.
Then, they vote on the version they think is best (it can be one or two visions). They can also merge some
of the proposed visions and create a new one.
T24 Strategic Visioning Workshop Guide
Tip: Give out one or two voting dots (stickers) to each participant. Each one places a sticker on the vision they think is
best. The two versions that have more voting dots are selected.
Ideally, and for a more participatory process, the two selected versions are shared with the rest of the city (e.g. using a
survey, a public hearing, etc.) so all citizens can have an opinion and vote on the vision they think is more adequate.
Step 3 is then carried out as a second workshop once the vision is defined.
7. The most voted version is defined as the strategic vision for the city, and it is shared among the city's
residents.
Step 2. Define Goals and Targets (Workshop - Part 2)
After the vision is determined, a set of goals and targets are defined. While the goals are the main topics of the
Strategic Development Plan, the targets are specific objectives of the plan. The goals and
the targets should
make linkages with the Sustainable Development Goals (SDGs), the New Urban Agenda or any national
framework.
1. Divide participants into smaller groups, according to the Sustainable Urban Development 5/6P's
(People/Planet/Partnerships/Prosperity/Peace/Planning), or any other thematic areas established. Ensure
diversity according to sectors, organisations, committees, gender, age, etc.
2. Participants define the main issues related to each sector of the 6 P’s based on the Analysis and
Diagnostic outputs.
3. Participants brainstorm possible goals for the city, based on the main issues, legal framework/ documents’
matrix. These should be short and linked to specific subjects (e.g. “green mobility”, “resilient public
spaces”, “affordable housing for all”, "inclusive and equitable city", "participative, vibrant and cultural city",
etc.). Ideas can be grouped into similar topics.
Tip: An alternative version of this step can be that each group is assigned a pre-established topic (e.g. inclusive and
equitable city, prosperous and diverse city, etc.). These can
be selected according to the diagnostic findings,
participatory activities, and/or specific SDGs the city wants to focus on. Then, participants in each group brainstorm
concrete goals linked to each topic.
4. Participants propose possible initiatives, actions, or programs aligned to each goal or topic. These will be
then translated into targets.
Tip: Use the following guiding questions to facilitate the brainstorm:
● What is the proposed initiative? E.g. If the topic is "resilient and green city", some initiatives could include:
implementation of nature-based solutions, leverage green and blue infrastructure, resilient public space, early
warning system, environmental sensibilization, etc.
● Who would be in charge of the implementation? E.g. municipal government, NGO, etc.
● When could this be achieved? E.g. short, medium, long time frame.
● Are there any barriers to achieve the initiative?
● Are there known examples (local or international) of similar initiatives to learn from?
5. Each group shares their results in plenary, collecting feedback or any other ideas that come up. The
notetaker should document the discussion.

256. T24 Strategic Visioning Workshop Guide
6. After the workshop, the technical team systematises the collected information, defining the goals and
specific targets. Targets result from the initiatives proposed during the workshop but can also be
complemented with others related to the diagnosis findings or other participatory activities.
Example of Goal and Targets
Goal Green and resilient city: facilitate the sustainable management of natural resources in the municipality in
order to protect and optimise the urban ecosystem. This goal promotes, among other issues, the creation of
a system of quality public spaces (open, safe, inclusive, accessible and green) for multiple purposes to
increase the city's resilience to climate change and natural disasters.
Targets ● By 2030, transform grey infrastructures to integrate the blue-green ecosystems of the municipality,
through nature-based solutions, in pursuit of environmental urban balance, climate change adaptation
and mitigation.
● By 2030, consolidate the network of public spaces, creating new public spaces in deficient areas, as
well as interconnections and urban transects between existing public spaces.
● By 2030, strengthen environmental governance
and awareness, coordination and stakeholder
engagement to foster resilience to natural hazards, risk reduction, health crises and protection of natural
areas.
T25 Scenario Building Narratives
Description
This tool guides the creation of narratives to describe different development scenarios, taking into account
the strengths, weaknesses, opportunities and threats facing the city.
Participants
This activity is carried out by the technical team and the advisory council.
Instrucciones
1. Before you begin, review the results of the H19 SWOT analysis . Have a printed version to refer to
during the activity.
2. Write ideas for each of the following scenarios, keeping in mind the strengths and weaknesses of the
SWOT analysis. Use colored sticky notes or write the ideas on a whiteboard or paper.
Strategic development scenarios
Baseline /
current trends
or "as usual"
scenario
What would the city look like if current strengths and weaknesses persist? Consider that current
conditions continue into the future. Represents a scenario where no new strategies or regulations are
applied to generate a change in the city.
Example: The strong impulse to plan the city as a technological-industrial corridor with sustainable urban development was not
supported by actions and investments to improve the wellbeing of the local population. Environmental awareness is promoted and
there is pressure on the government from social groups, but without the articulation of effective governance to ensure full compliance
with laws and programs. Transportation and connectivity infrastructure, health services and recreational areas in the communities are
still insufficient or in poor condition. Low investment in innovation and technological development that contributes to the strengthening
of businesses and government hinders economic growth, employment generation and the quality of social services. Technology-related
educational programs are either inaccessible or of low quality. This limits the local population's access to the specialized jobs
demanded by the Corridor's new technology industries. Unemployment and lack of resources for families and individuals is growing,
increasing social inequality and triggering migration. There is a perception of greater citizen security, but levels of insecurity do not show
consistent downward trends.
Optimal
scenario
What would the city look like if its strengths persist, its weaknesses diminish and its threats
disappear? It represents the best possible scenario, the ideal, but one that is usually not feasible or
achievable.
Example: The so-called industrial-technology corridor city has established itself as a world leader in innovation, economic and
technological development and integrated, sustainable planning. High environmental ambitions are fulfilled and data centers are part of
an innovative, collaborative and diverse local/regional business community. The education system has been transformed to be more
inclusive, offering capacity building programs and training linked to the technology industry. Social transformation has accelerated and
people have a good quality of life, where rates are the highest in the country.
Strategic
scenario
What would the city look like if its strengths and weaknesses met its opportunities? Consider the
positive changes the city requires to improve its current conditions, representing the interests of the
population and in alignment with planning frameworks. Changes may be due to premeditated actions
or to latent threats (e.g., response to disaster risks and climate change). This scenario is the one that
will be pursued and should be agreed upon by all stakeholders as a viable bet for the city's
development.
Example: The city called the industrial-technological corridor shows integrated urban and social development between technological
industries and surrounding communities. This has been achieved through a holistic urban planning system and framework that
promotes cross-sector collaboration and inclusive participation. People thrive and have a good quality of life, with access to better
services such as health and education. Crime and drug addiction rates are minimal, as the population participates from an early age in
sports, cultural activities and an education focused on digital skills and technological capabilities. This has also resulted in a high
number of jobs being filled by the local population, which has led to local and inclusive economic development that has benefited the
communities and their environment.

257. T24 Strategic Visioning Workshop Guide
6. After the workshop, the technical team systematises the collected information, defining the goals and
specific targets. Targets result from the initiatives proposed during the workshop but can also be
complemented with others related to the diagnosis findings or other participatory activities.
Example of Goal and Targets
Goal Green and resilient city: facilitate the sustainable management of natural resources in the municipality in
order to protect and optimise the urban ecosystem. This goal promotes, among other issues, the creation of
a system of quality public spaces (open, safe, inclusive, accessible and green) for multiple purposes to
increase the city's resilience to climate change and natural disasters.
Targets ● By 2030, transform grey infrastructures to integrate the blue-green ecosystems of the municipality,
through nature-based solutions, in pursuit of environmental urban balance, climate change adaptation
and mitigation.
● By 2030, consolidate the network of public spaces, creating new public spaces in deficient areas, as
well as interconnections and urban transects between existing public spaces.
● By 2030, strengthen environmental governance and awareness, coordination and stakeholder
engagement to foster resilience to natural hazards, risk reduction, health crises and protection of natural
areas.
T25 Scenario Building Narratives
Description
This tool guides the creation of narratives to describe different development scenarios, taking into account
the strengths, weaknesses, opportunities and threats facing the city.
Participants
This activity is carried out by the technical team and the advisory council.
Instrucciones
1. Before you begin, review the results of the H19 SWOT analysis . Have a printed version to refer to
during the activity.
2. Write ideas for each of the following scenarios, keeping in mind the strengths and weaknesses of the
SWOT analysis. Use colored sticky notes or write the ideas on a whiteboard or paper.
Strategic development scenarios
Baseline /
current trends
or "as usual"
scenario
What would the city look like if current strengths and weaknesses persist? Consider that current
conditions continue into the future. Represents a scenario where no new strategies or regulations are
applied to generate a change in the city.
Example: The strong impulse to plan the city as a technological-industrial corridor with sustainable urban development was not
supported by actions and investments to improve the wellbeing of the local population. Environmental awareness is promoted and
there is pressure on the government from social groups, but without the articulation of effective governance to ensure full compliance
with laws and programs. Transportation and connectivity infrastructure, health services and recreational areas in the communities are
still insufficient or in poor condition. Low investment in innovation and technological development that contributes to the strengthening
of businesses and government hinders economic growth, employment generation and the quality of social services. Technology-related
educational programs are either inaccessible or of low quality. This limits the local population's access to the specialized jobs
demanded by the Corridor's new technology industries. Unemployment and lack of resources for families and individuals is growing,
increasing social inequality and triggering migration. There is a perception of greater citizen security, but levels of insecurity do not show
consistent downward trends.
Optimal
scenario
What would the city look like if its strengths persist, its weaknesses diminish and its threats
disappear? It represents the best possible scenario, the ideal, but one that is usually not feasible or
achievable.
Example: The so-called industrial-technology corridor city has established itself as a world leader in innovation, economic and
technological development and integrated, sustainable planning. High environmental ambitions are fulfilled and data centers are part of
an innovative, collaborative and diverse local/regional business community. The education system has been transformed to be more
inclusive, offering capacity building programs and training linked to the technology industry. Social transformation has accelerated and
people have a good quality of life, where rates are the highest in the country.
Strategic
scenario
What would the city look like if its strengths and weaknesses met its opportunities? Consider the
positive changes the city requires to improve its current conditions, representing the interests of the
population and in alignment with planning frameworks. Changes may be due to premeditated actions
or to latent threats (e.g., response to disaster risks and climate change). This scenario is the one that
will be pursued and should be agreed upon by all stakeholders as a viable bet for the city's
development.
Example: The city called the industrial-technological corridor shows integrated urban and social development between technological
industries and surrounding communities. This has been achieved through a holistic urban planning system and framework that
promotes cross-sector collaboration and inclusive participation. People thrive and have a good quality of life, with access to better
services such as health and education. Crime and drug addiction rates are minimal, as the population participates from an early age in
sports, cultural activities and an education focused on digital skills and technological capabilities. This has also resulted in a high
number of jobs being filled by the local population, which has led to local and inclusive economic development that has benefited the
communities and their environment.

258. T25 Scenario Building Narratives
Tip: As an additional exercise, you can develop the pessimistic scenario, the one that answers: what would the city
look like if its strengths and weaknesses matched its threats? Consider an undesirable scenario that could be
achieved if certain conditions are met. This can be an important exercise to identify the future that wants to be
avoided, but for which certain changes must be planned in order to avoid achieving it.
Example: The objective of achieving sustainable development in the communities of the Technological-Industrial Corridor is not
achieved. Educational and digitalization programs fail to change socioeconomic conditions. Citizen apathy towards participation
and weak governance have led to the establishment of ineffective public policies for the management of economic, urban and
social development. Industries are disconnected from communities and do not generate benefits for them. Inadequate land
occupation and urbanization and lack of housing provision, in addition
to precarious infrastructure and connectivity conditions,
scare away new investors. Unemployment grows, marginalization increases, addictions worsen, violence and crime increase and
the social fabric deteriorates. Mistrust in government and social discontent pose a serious risk of ungovernability. Environmental
projects have low priority in favor of the management of social problems.
3. Divide participants into smaller groups and use the ideas proposed in the previous step to write a narrative
(paragraph) for each of the scenarios. Use the following table as a guide.
Baseline / current trends or "as usual" scenario
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......
Optimal scenario
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......
Strategic scenario
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......

259. T25 Scenario Building Narratives
Tip: As an additional exercise, you can develop the pessimistic scenario, the one that answers: what would the city
look like if its strengths and weaknesses matched its threats? Consider an undesirable scenario that could be
achieved if certain conditions are met. This can be an important exercise to identify the future that wants to be
avoided, but for which certain changes must be planned in order to avoid achieving it.
Example: The objective of achieving sustainable development in the communities of the Technological-Industrial Corridor is not
achieved. Educational and digitalization programs fail to change socioeconomic conditions. Citizen apathy towards participation
and weak governance have led to the establishment of ineffective public policies for the management of economic, urban and
social development. Industries are disconnected from communities and do not generate benefits for them. Inadequate land
occupation and urbanization and lack of housing provision, in addition to
precarious infrastructure and connectivity conditions,
scare away new investors. Unemployment grows, marginalization increases, addictions worsen, violence and crime increase and
the social fabric deteriorates. Mistrust in government and social discontent pose a serious risk of ungovernability. Environmental
projects have low priority in favor of the management of social problems.
3. Divide participants into smaller groups and use the ideas proposed in the previous step to write a narrative
(paragraph) for each of the scenarios. Use the following table as a guide.
Baseline / current trends or "as usual" scenario
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......
Optimal scenario
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......
Strategic scenario
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......
….………………..…………………………...……..…………………………..……………………….... ......
T25 Scenario Building Narratives
4. Each group shares the draft of their story. The participants then discuss to reach a consensus on the one
they consider most appropriate for each scenario.
Note: Hand out three voting points (stickers) to each participant. Each participant places a sticker on the narrative
he/she feels is most appropriate for each of the scenarios (current, optimistic, and pessimistic). Select the
narratives with the most voting points and discuss whether they are the most appropriate and why.

260. T26 Thematic Issues Checklist
Description This checklist aims to ensure that the cross-cutting dimensions of social inclusion (human
rights, gender, children, youth and older persons, and persons with disabilities) and areas of resilience and
safety are integrated into all the steps of the planning phase.
Participants This activity is carried out by the technical team.
Instructions
Review all the components of the plan — including the strategies, recommendations, policies, incentives, and
land mechanisms — and evaluate them according to how much they consider the following cross-cutting
issues and target groups.
Social Inclusion
How much are the groups below targeted and addressed in the plan, its strategies, recommendations and
regulatory directives? Please consider access to housing, basic services, health care, education, public spaces
and other benefits of urbanisation.
1 = not targeted at all 2 = incidentally targeted 3 = targeted 4 = Strongly targeted
Women
⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Older persons ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Adolescents, children and youth (especially girls and young
women)
⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Persons with physical disabilities ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Persons with mental health conditions ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Migrants, refugees, stateless and internally displaced persons ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Minorities ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Slum dwellers, people in informal settlements, homeless persons ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
People living with human immunodeficiency virus infection and
acquired immune deficiency syndrome (HIV/AIDS) and other
people with pre-existing medical conditions
⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
People in extreme poverty or facing insecure and informal
work/income
⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Groups that are particularly vulnerable and marginalized because
laws, policies and practices do not protect them from
discrimination and exclusion (e.g. LGBTQIA people)
⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Persons in detention or in institutionalised settings (e.g. persons in
psychiatric care, drug rehabilitation centres, old age homes)
⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4

261. T26 Thematic Issues Checklist
Description This checklist aims to ensure that the cross-cutting dimensions of social inclusion (human
rights, gender, children, youth and older persons, and persons with disabilities) and areas of resilience and
safety are integrated into all the steps of the planning phase.
Participants This activity is carried out by the technical team.
Instructions
Review all the components of the plan — including the strategies, recommendations, policies, incentives, and
land mechanisms — and evaluate them according to how much they consider the following cross-cutting
issues and target groups.
Social Inclusion
How much are the groups below targeted and addressed in the plan, its strategies, recommendations and
regulatory directives? Please consider access to housing, basic services, health care, education, public spaces
and other benefits of urbanisation.
1 = not targeted at all 2 = incidentally targeted 3 = targeted 4 = Strongly targeted
Women ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Older persons ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Adolescents, children and youth (especially girls and young
women)
⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Persons with physical disabilities ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Persons with mental health conditions ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Migrants, refugees, stateless and internally displaced persons ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Minorities ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Slum dwellers, people in informal settlements, homeless persons ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
People living with human immunodeficiency virus infection and
acquired immune deficiency syndrome (HIV/AIDS) and other
people with pre-existing medical conditions
⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
People in extreme poverty or facing insecure and informal
work/income
⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Groups that are particularly vulnerable and marginalized because
laws, policies and practices do not protect them from
discrimination and exclusion (e.g. LGBTQIA people)
⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Persons in detention or in institutionalised settings (e.g. persons in
psychiatric care, drug rehabilitation centres, old age homes)
⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
T26 Thematic Issues Checklist
Specific populations/groups as relevant in the national context ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Informal sector and self-employed who depend on markets for
food as well as small farmers, fishers, pastoralists, etc.
⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Resilience
How much does the plan, its strategies, recommendations and regulatory directives address each of the five
pillars of urban resilience presented below?
● URBAN GOVERNANCE refers to the processes and structures that allow all local actors participating in the
decision making process and influencing public policies and strategies for improved urban planning,
management and development.
● URBAN PLANNING AND ENVIRONMENT includes all aspects related to planning and design of the urban
space, the quality of the natural environment (air, water, soil), public/green spaces and climate change.
● RESILIENT INFRASTRUCTURE AND BASIC SERVICES refers to the urban “hardware” and and includes,
among others: streets and roads, bridges, drainage, water and electricity supply, sanitation and solid waste
management, hospitals, schools, etc.
● URBAN ECONOMY AND SOCIETY refers to the processes, mechanisms and activities that allow cities to
becoming drivers of socio-economic development in a country or region, by creating jobs, increasing
households’ income, generating investments, reducing social tensions and crime, increasing equality and
inclusion, promoting social mix, and enhancing security and safety, among other aspects.
● URBAN DISASTER RISK MANAGEMENT refers to the ability of the local government and communities, in
terms of capacity, knowledge, processes and systems in place, to prevent, anticipate, respond to, and recover
rapidly from the impacts of natural or manmade threats in the city.
1 = not targeted at all 2 = incidentally targeted 3 = targeted 4 = Strongly targeted
Urban governance ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Urban planning and environment ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Resilient infrastructure and basic services ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Urban economy and society ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Urban disaster risk management ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Safety To what extent are the items below considered in the plan, its strategies, recommendations and regulatory
directives?
1 = not targeted at all 2 = incidentally targeted 3 = targeted 4 = Strongly targeted
Equal access to basic services, public spaces and mobility
⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Crime prevention ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Violence prevention ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4

262. T26 Thematic Issues Checklist
Inequality reduction ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Promotion and preservation of jobs and livelihoods ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4

263. T26 Thematic Issues Checklist
Inequality reduction ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
Promotion and preservation of jobs and livelihoods ⬚ 1 ⬚ 2 ⬚ 3 ⬚ 4
T27 Spatialisation of the Strategic Vision Workshop
Description This tool aims to spatialise the vision and goals established in the Strategic Visioning
Workshop, mapping concrete proposals and actions in specific areas of the city. Per each goal, a thematic
map will be developed, integrating different aspects and strategies in the territory.
Participants This activity is carried out by the technical team, the advisory committee, the steering
committee, and other key stakeholders.
Instructions
Step 1. Assess all the information and data collected from previous activities (Workshop - Part 1)
This is the first part (or Day 1) of the workshop. The objective is to have an overview of all the products already
developed in previous activities.
1. In plenary, the technical team shares a presentation that includes:
The outputs of previous planning activities that are relevant to formulate the vision of the city (City
Profile report, T21 S.W.O.T. Analysis, T16 Participatory Incremental Planning (PIM), T15 Matrix of
Functions (MoF), etc.)
The Strategic Vision (Activity 17) and Monitoring and Evaluation Framework (Activity 18).
2. Divide participants into smaller groups, each one focusing on one of the goals established in the vision.
Ensure diversity according to sectors, organisations, committees, gender, age, etc. The participants will be
divided based on their expertise and institutions, creating a good relationship to debate and propose
different ideas.
Tip: To divide the groups, use the results from the T12 Stakeholders' Mapping to make sure the discussion can be
fluid, including more perspectives and promoting discussions from different institutions and point of views.
Step 2. List of actions and projects for each goal
3. Using the results from the T21 S.W.O.T analysis, participants discuss and prioritise the problems and
challenges that need to be addressed to respond to the thematic area or goal. In general, it is important to
discuss what they want to change and why they want to change it.
4. Building on the results and discussions of the Strategic Visioning Workshop (Activity 17), participants
brainstorm ideas to address each goal and identify possible projects and actions. Do a list of actions per
goal and identify if it is a project, programme or policy.
5. For each problem or challenge, participants should identify action or actions that will solve or improve
those conditions and where within the city this action can be located.

264. T27 Spatialisation of the Strategic Vision Workshop
Example - List of actions
Goal 1: Compact and Vibrant City
Targets Action Priority Partners and
possible
implementing entity
Related ongoing initiative
and Institution
responsible
Short
term
Medium
term
Long
term
Step 2. Spatialisation and mapping process
6. Each group reviews the projects and actions. Using one base map per goal, participants identify the area(s)
where these projects and actions could be implemented. Some initiatives can also have different areas of
interventions and the group can prioritise the actions.
Tip: Use the following guiding questions to facilitate the brainstorm:
● What are the main challenges we need to respond to achieve the goal?
● What is the proposed initiative?
● Is there any similar project or initiative already in place? If so, who is working on it?
● Who would be in charge of the implementation? Who are the stakeholders with capacity/ expertise on this
topic? E.g. municipal government, NGO, etc.
● When could this initiative start? E.g. short, medium, long time frame.
● Are there known examples (local or international) of similar initiatives to learn from?
Example San Nicolas de los Garza, Mexico

265. T27 Spatialisation of the Strategic Vision Workshop
Example - List of actions
Goal 1: Compact and Vibrant City
Targets Action Priority Partners and
possible
implementing entity Related ongoing initiative
and Institution
responsible
Short
term
Medium
term
Long
term
Step 2. Spatialisation and mapping process
6. Each group reviews the projects and actions. Using one base map per goal, participants identify the area(s)
where these projects and actions could be implemented. Some initiatives can also have different areas of
interventions and the group can prioritise the actions.
Tip: Use the following guiding questions to facilitate the brainstorm:
● What are the main challenges we need to respond to achieve the goal?
● What is the proposed initiative?
● Is there any similar project or initiative already in place? If so, who is working on it?
● Who would be in charge of the implementation? Who are the stakeholders with capacity/ expertise on this
topic? E.g. municipal government, NGO, etc.
● When could this initiative start? E.g. short, medium, long time frame.
● Are there known examples (local or international) of similar initiatives to learn from?
Example San Nicolas de los Garza, Mexico
T27 Spatialisation of the Strategic Vision Workshop

266. T28 Urban Development Structure Guide
Description This tool guides the urban development structure of the city, including first the definition of the
new urban perimeter and then the transformation, consolidation and conservation areas.
Participants This activity is carried out by the technical team, but can be developed as a workshop
including the advisory committee members.
Instructions
Step 1. Define the types of areas for land development
1. Review the outputs of the Assessment Phase and the Diagnosis (Activity 16) taking a look at the spatial
structure and pattern of urban growth. Use a map that includes the paths, edges, landmarks, and nodes
as a base map for this activity.
2. Review the results from the Spatialisation of the Strategic Vision (Activity 19).
3. Review the population growth rate and the T19 Urban Expansion Projections.
4. Use a map of the city to define the new urban perimeter and classify the land into urban area, urban
expansion, and rural area according to the definitions and example map below, and the following guiding
questions:
● Is the area located within the existing urban perimeter?
● Is the area foreseeing current trends of urbanisation of the city? Is there any presence of informal
development already?
● What is the current density of the area in relation with the average density of the city?
● What is the current infrastructure capacity of the area? Is it well-connected with the city centre? Is it
adequately served by public transport? Is the area adequately provided with basic services? Does it
suffer from traffic congestion or electricity/water shortages?
Tip: Analyse the possible directions of urban expansion and take in consideration the population growth projection and
the amount of land needed to achieve an adequate population density for the local context (100-200 inhab/ha, but it
can vary according to the local context) and an adequate proportion of public spaces (30-45%). The limit could be
informed by existing administrative limits or physical elements such as topography, waterbodies, major infrastructure,
natural landscapes, etc.
Definitions
Urban perimeter The urban management boundary — also called urban edge, urban perimeter or planning
boundary — is a regulatory instrument that sets the limits for the future growth and sprawl of the
city to guarantee sustainable development.
Urban area Land that has already been subdivided into plots (formally or informally) or land contained by an
existing or former urban perimeter.
Urban expansion Land within the city limits destined for urban expansion. This is land that has not been urbanised
or subdivided into plots yet, and is located outside the existing or former urban perimeter.

267. T28 Urban Development Structure Guide
Description This tool guides the urban development structure of the city, including first the definition of the
new urban perimeter and then the transformation, consolidation and conservation areas.
Participants This activity is carried out by the technical team, but can be developed as a workshop
including the advisory committee members.
Instructions
Step 1. Define the types of areas for land development
1. Review the outputs of the Assessment Phase and the Diagnosis (Activity 16) taking a look at the spatial
structure and pattern of urban growth. Use a map that includes the paths, edges, landmarks, and nodes
as a base map for this activity.
2. Review the results from the Spatialisation of the Strategic Vision (Activity 19).
3. Review the population growth rate and the T19 Urban Expansion Projections.
4. Use a map of the city to define the new urban perimeter and classify the land into urban area, urban
expansion, and rural area according to the definitions and example map below, and the following guiding
questions:
● Is the area located within the existing urban perimeter?
● Is the area foreseeing current trends of urbanisation of the city? Is there any presence of informal
development already?
● What is the current density of the area in relation with the average density of the city?
● What is the current infrastructure capacity of the area? Is it well-connected with the city centre? Is it
adequately served by public transport? Is the area adequately provided with basic services? Does it
suffer from traffic congestion or electricity/water shortages?
Tip: Analyse the possible directions of urban expansion and take in consideration the population growth projection and
the amount of land needed to achieve an adequate population density for the local context (100-200 inhab/ha, but it
can vary according to the local context) and an adequate proportion of public spaces (30-45%). The limit could be
informed by existing administrative limits or physical elements such as topography, waterbodies, major infrastructure,
natural landscapes, etc.
Definitions
Urban perimeter The urban management boundary — also called urban edge, urban perimeter or planning
boundary — is a regulatory instrument that sets the limits for the future growth and sprawl of the
city to guarantee sustainable development.
Urban area Land that has already been subdivided into plots (formally or informally) or land contained by an
existing or former urban perimeter.
Urban expansion Land within the city limits destined for urban expansion. This is land that has not been urbanised
or subdivided into plots yet, and is located outside the existing or former urban perimeter.
T28 Urban Development Structure Guide
Rural area Land that has not been urbanised or subdivided into plots, outside the newly defined urban
perimeter and within the city limits.
Tip: The categories used for the areas can vary according to the planning framework and context. For example, an
"environmental area" can be added in a city that includes national reserves or protected areas. See the following
images to see other examples.
Example:
Bubaque, Guinea Bissau:

268. T28 Urban Development Structure Guide
Les Cayes, Haiti:

269. T28 Urban Development Structure Guide
Les Cayes, Haiti:
T28 Urban Development Structure Guide
Step 2. Define the strategic areas
1. For the urban, rural and expansion areas, map the areas of transformation, consolidation and
conservation . This is a first exercise to define more specific development zones (next Activity), and should
take into account the diagnosis and the spatialisation of the vision. The results should be then validated
with the steering committee.
Strategic areas

270. T28 Urban Development Structure Guide
Transformation Area
Areas where the infrastructure capacity and the land occupation are balanced and/or there are no predictable or
justifiable major changes in the current urban fabric and urban form. It can apply to rural, urban and expansion areas.
Consolidation Area
Areas where there is a mismatch between the infrastructure capacity and land occupation and/or where no substantial
changes in the current urban fabric and urban form are predicted. Some sectors from the consolidation areas have the
potential to be densified.
Conservation Area
Areas with cultural or environmental value that nees to be protected from interventions and urban sprawl. These can
include archeological areas, environmental preservation (protected areas), land protection, water recharge, biodiversity
conservation, etc.
Example Les cayes, Haiti:
T29 Development Zones Guide
Description This tool guides the identification of key development zones for the city, according to their
functional vocation.
Participants This activity is carried out by the technical team and validated with the advisory committee.
Instructions
Step 1. Define key development zones
1. Review the urban perimeter and the strategic areas (consolidation, transformation and conservation)
defined in the previous activity.
2. Identify the different development/functional zones based on their vocational funcion, using the following
definitions. These zones consider both the current uses and cyty dynamics, and well as the potential for
new uses. According to the context, other zones can be added or these can be modified.
Development Zones
Economic-prod uctive Zone Zones with existing commercial activities and economic centers that need to be strengthen, or also new potential centers that could be part of the strategic development in the city. The zone can also be divided into more detail such as economic/commercial, industrial and productive (agriculture, farming) zones. Some examples can include:
- Prime land within the urban area or urban expansion area that can be reserved for strategic economic and income generation functions (industrial, tourism, manufacturing, productive, etc.), as well as areas surrounding infrastructure nodes with relevant functional landmarks and a conversion of important paths.
- New or strengthen potential economic clusters or specialised service, building on the existing industrial activities of the city. This can include industrial parks or areas that contain the specific use to create synergies between businesses.
- Low-density areas mostly occupied by commerce and services to promote and strengthen economic development through diversified and mixed activities, guaranteeing vitality at all times of the day and promoting social inclusion.
- Economic corridors in main roads that serve existing and new residential areas with mixed commercial uses.
- Zone for touristic development (camping area, hotels, other facilities) close to a high value environmental zone in the need of public facilities and regulations that allow for new and complementary uses.
Housing/ Urban/ Social Zone Zones destined for housing and other urban facilities/equipment (healthcare, education, basic services, public space/recreational spaces), both for areas that need transformation and consolidation. The zone should be aligned with national and local housing policies and promote the ‘housing at the centre’ principle. Some examples can include:
- Low-density areas that need housing policies and interventions to promote the social mix and reduce inequalities.The zone suggests creating incentives to promote public-private partnerships for the production of adequate and affordable housing, including rental housing, and land with accessible services for vulnerable groups.
- Slum upgrading and other zones that lack adequate basic infrastructure and services including electricity, water, and sanitation.
- Zones that lack education, healthcare and recreational facilities.

271. T28 Urban Development Structure Guide
Transformation Area
Areas where the infrastructure capacity and the land occupation are balanced and/or there are no predictable or
justifiable major changes in the current urban fabric and urban form. It can apply to rural, urban and expansion areas.
Consolidation Area
Areas where there is a mismatch between the infrastructure capacity and land occupation and/or where no substantial
changes in the current urban fabric and urban form are predicted. Some sectors from the consolidation areas have the
potential to be densified.
Conservation Area
Areas with cultural or environmental value that nees to be protected from interventions and urban sprawl. These can
include archeological areas, environmental preservation (protected areas), land protection, water recharge, biodiversity
conservation, etc.
Example Les cayes, Haiti:
T29 Development Zones Guide
Description This tool guides the identification of key development zones for the city, according to their
functional vocation.
Participants This activity is carried out by the technical team and validated with the advisory committee.
Instructions
Step 1. Define key development zones
1. Review the urban perimeter and the strategic areas (consolidation, transformation and conservation)
defined in the previous activity.
2. Identify the different development/functional zones based on their vocational funcion, using the following
definitions. These zones consider both the current uses and cyty dynamics, and well as the potential for
new uses. According to the context, other zones can be added or these can be modified.
Development Zones
Economic-prod
uctive Zone
Zones with existing commercial activities and economic centers that need to be strengthen, or also
new potential centers that could be part of the strategic development in the city. The zone can also
be divided into more detail such as economic/commercial, industrial and productive (agriculture,
farming) zones. Some examples can include:
- Prime land within the urban area or urban expansion area that can be reserved for strategic
economic and income generation functions (industrial, tourism, manufacturing, productive,
etc.), as well as areas surrounding infrastructure nodes with relevant functional landmarks
and a conversion of important paths.
- New or strengthen potential economic clusters or specialised service, building on the
existing industrial activities of the city. This can include industrial parks or areas that contain
the specific use to create synergies between businesses.
- Low-density areas mostly occupied by commerce and services to promote and strengthen
economic development through diversified and mixed activities, guaranteeing vitality at all
times of the day and promoting social inclusion.
- Economic corridors in main roads that serve existing and new residential areas with mixed
commercial uses.
- Zone for touristic development (camping area, hotels, other facilities) close to a high value
environmental zone in the need of public facilities and regulations that allow for new and
complementary uses.
Housing/
Urban/ Social
Zone
Zones destined for housing and other urban facilities/equipment (healthcare, education, basic
services, public space/recreational spaces), both for areas that need transformation and
consolidation. The zone should be aligned with national and local housing policies and promote the
‘housing at the centre’ principle. Some examples can include:
- Low-density areas that need housing policies and interventions to promote the social mix
and reduce inequalities.The zone suggests creating incentives to promote public-private
partnerships for the production of adequate and affordable housing, including rental
housing, and land with accessible services for vulnerable groups.
- Slum upgrading and other zones that lack adequate basic infrastructure and services
including electricity, water, and sanitation.
- Zones that lack education, healthcare and recreational facilities.

272. T29 Development Zones Guide
- Expansion areas that can be urbanised for new housing and services to fit the population
projections.
- Zones that need to be densified to encourage a more compact city and the possibility of
new housing and services in already consolidated areas.
Cultural Zone Zones with tangible and intangible heritage (cultural landmarks, such as historical centres, cultural
heritage, areas of cultural leisure and tourism, etc.) in need of incentive policies to protect traditional
identity from potential disruptive impacts of urban development and/or strengthen their cultural
value. The zone suggests creating incentives through land financing to encourage recreational,
tourist, gastronomic and other cultural functions and the use of historic buildings, as well as
development policies are put in place to safeguard tangible and intangible cultural heritage and
landscapes, and protect them from potential disruptive impacts of urban development (NUA, pg.
124). Some examples can include:
- Historical center that needs to be revitalized and/or regenerated, degraded areas with
cultural value.
- Archeological sites within or outside urban areas that need policies and interventions for
their protection and revaluation.
- Cultura zones that need the development of urban equipment such as, for example, a local
museum, research center, etc. such as policies that allow for them.
- Low-density areas with significant cultural landmarks, where cultural activities have the
potential to generate income and promote a socially and economically vibrant community.
Environmental
Zone
Zones that contains relevant green and blue infrastructure and environmental landmarks, such as
water bodies, wetlands, public parks and natural reserves, environmental sensitive areas, areas with
high risk, etc. A diverse range of management and development policies and projects would need to
be put in place to ensure the environmental function of land and the environmental conservation and
resilience of the urban ecosystem. This integrates multiple approaches such as environmental
protection, sustainable use, disaster risk reduction, ecosystem-based adaptation, climate
adaptation and mitigation, specific strategies for coastal areas and water bodies, etc. Some
examples can include:
- Zones with relevant environmental characteristics and biodiversity that need environmental
protection and conservation policies and that should not have any human intervention.
- Zones that are already polluted or vulnerable areas with environmental degradation and loss
of biodiversity which need regulations and physical interventions to protect and restore the
degraded area.
- Zones with high environmental value that can be intervened with small scale infrastructure
in order to allow for other activities such as tourism or small-scale productive activities (i.e.
does not allow construction, only visits, recreation, and small installations such as street
furniture, kiosks, tables, etc.).
- Zones that present some kind of unmitigable hazard condition, such as ravines, flooding
areas, landslides, etc.
Example:

273. T29 Development Zones Guide
Example: Bubaque, Guinea Bissau

274. T29 Development Zones Guide
Example: Les Cayes, Haiti
Step 2. Define strategic densities
1. Review the projected population calculated in the Block D (see Data & Map Checklist).
2. Review the results from the urban development structure, strategic areas and development zones.
3. Define what high, medium and low density mean for your context and city.
4. Identify strategic density areas, using the following guiding questions.
a. What is the current density of the city?
b. What would be the average density of the city needed to absorb the projected population of the next
15 year and more?
c. How is the existing urban landscape of your city? Is there available land within the urban areas that
could be densified (vacant and built land)? How many stories are the buildings on average?
d. Does the city have adequate availability of public land for streets and open public spaces (45%) and
urban green spaces (a minimum of
9m
2
per inhabitant)?

275. T29 Development Zones Guide
Example: Les Cayes, Haiti
Step 2. Define strategic densities
1. Review the projected population calculated in the Block D (see Data & Map Checklist).
2. Review the results from the urban development structure, strategic areas and development zones.
3. Define what high, medium and low density mean for your context and city.
4. Identify strategic density areas, using the following guiding questions.
a. What is the current density of the city?
b. What would be the average density of the city needed to absorb the projected population of the next
15 year and more?
c. How is the existing urban landscape of your city? Is there available land within the urban areas that
could be densified (vacant and built land)? How many stories are the buildings on average?
d. Does the city have adequate availability of public land for streets and open public spaces (45%) and
urban green spaces (a minimum of
9m
2
per inhabitant)?
T29 Development Zones Guide
Density (inhab/km
2
) Where
High 15,000 Business area, commercial area and mixed-use with residential within the central
districts and along the main mobility axes.
Medium 10,000 Mixed-use and residential areas close to the central districts and the main mobility axes.
Low 6,500 Industrial and low density residential areas in the periphery of the city and disconnected
with the main mobility axes.
Tip: The densities chosen will have to take into account the cultural context, the availability of land, the population
growth and climate change scenarios, the specific nature of the land, the land market value, the technical capacities for
building and the legal requirements for FARs and land uses. Note that the densities proposed here above are
recommended by UN-Habitat (2015). However, these are indicatives and could not fit specific contexts with particularly
low densities and minor projected growth.
Furthermore, it should be considered that higher density can increase local vulnerability to climate hazards, which are
likely to become more frequent and more intense as a result of climate change. Thus, in some cases, moderate density
in combination with green infrastructure
could be the most effective form. More accurate densities could be tailored by
the local government considering the above indications. E.g. If the current urban landscape has an average of 1-story
buildings, then an area with 5-6 stories buildings is already considered a high density neighbourhood and higher
densities should be discouraged.
5. Prepare a map showing the proposed strategic density using a clear legend of colour and hatches that can
be overlapped with the urban development structure and the development zones.
Examples Les Cayes, Haiti:

276. T29 Development Zones Guide

277. T29 Development Zones Guide T30 Environmental and Social Scoping Report Template
Description This tool aims to identify the key environmental and social issues to be studied in the ESIA or
ESAP, specifying where they will be studied (area of influence of the project) and how they will be studied
(methodologies and techniques).
Participants This document is developed by the project leader and the preliminary technical team.
Representatives of the local government, potential key stakeholders, and partners should be involved in the
process to provide their input and feedback.
Instructions
Gather and review the documents of the city plan and use the guiding questions below to prepare the Scoping
Report for the Planning Process.
1. INTRODUCTION OF THE CITY PLAN
● Provide a brief description of the project (city plan). Tip: use the content from the Context of the project, in T9
Guiding Document .
● List the stakeholders involved and the strategies to better integrate each of them in the planning process.
Tip: use answers from T12 Stakeholders Mapping and T10 Environmental and Social Screening Report Template.
2. REFERENCE FRAMEWORK OF THE PLANNING
Focused on the environmental and social-environmental regulation
2.1 Local laws and regulations
● Is there a Law or Act in the country which deals with Human Rights, Gender Equality, Social Inclusion,
Migrants, Refugees, Indiguenous people and other vulnerable groups etc.? If there is a standard, list the
requirements and processes included.
Tip: use answers from T2 Urban Legislation Assessment.
2.2 International Standards the planning process need to comply
● Does the project need to comply with any environmental or social international standard (or a donor) such as
the IFC Performance Standards, UN standards, Donor E&S standards or framework? If there is a standard, list
the requirements and processes included.
3. KEY ENVIRONMENTAL AND SOCIAL ISSUES
● Describe the level of risk (occurrence and potential severity) of each environmental and social risk that can
impact the planning process and the people involved.
Tip: use the answers and the list of risks from the T10 Environmental and Social Screening Report Template.
4. STAKEHOLDER ENGAGEMENT

278. T30 Environmental and Social Scoping Report Template
● Make a preliminary list of stakeholders that should be engaged in the planning process (e.g. specific
community, government bodies, non-government institutions.)
Tip: Use the T12 Stakeholders Mapping results as a guide.
5. ENVIRONMENTAL AND SOCIAL BASELINE SITUATION
5.1 Setting the area of influence
● Identify areas where the impact of the planning process can potentially occur. These refer to the areas where
the planning activities, facilities, structures will be performed.
5.2 Baseline Studies
● Look at the preliminary list of stakeholders and the area of influence of the activities and identify all the potential
impacts and risks. Use the list below for reference and add other issues according to the need.
The activities of planning process can impact or put in risk the:
Environmental impacts:
Air quality.
Noise.
Hydrology and hydrogeology.
Aquatic flora and fauna.
Terrestrial flora and fauna.
Ecosystem services.
Endangered species, sensitive habitats and
other ecological (sensitive) areas.
Landscape.
Other: …….…………..……………….
Other: …….…………..……………….
Social impacts:
Road and transport infrastructure.
Public utilities and services.
Community structures
Tensions between different groups
Employment and income.
Socio-economic activities.
Cultural heritage (e.g., historical properties).
Public health.
Recreation.
Labour and working conditions.
Other: …….………………………..….
*All impacts need to be identified, whether they are beneficial or adverse, short or long-term, temporary or permanent,
direct or indirect, local or transboundary.
5.3 Methodology of the ESIA
Only necessary if an ESIA is required.
● Identify and list international and local good practice on impact assessment. Consider techniques to measure
the extension and probability (e.g., extension, probability, duration, reversibility, intensity, synergic or cumulative
nature, etc.).
● For each impact identified in the baseline study, determine the methodology and fill the box below.
*The methodology should consider the source of impact, the relation with other baseline aspects and the
indicators to assess the extension of the impact.
Impact title (add title from 5.2. Baseline Study):
Impact description ( include extension, probability, duration, reversibility, intensity, synergic or cumulative
nature, etc.).
T30 Environmental and Social Scoping Report Template
Area of influence ( may be a map and list of stakeholders involved) :
Methodology (list the activities, methods and procedures available in your local context to develop the
assessment as well as the indicators that will be used).

279. T30 Environmental and Social Scoping Report Template
● Make a preliminary list of stakeholders that should be engaged in the planning process (e.g. specific
community, government bodies, non-government institutions.)
Tip: Use the T12 Stakeholders Mapping results as a guide.
5. ENVIRONMENTAL AND SOCIAL BASELINE SITUATION
5.1 Setting the area of influence
● Identify areas where the impact of the planning process can potentially occur. These refer to the areas where
the planning activities, facilities, structures will be performed.
5.2 Baseline Studies
● Look at the preliminary list of stakeholders and the area of influence of the activities and identify all the potential
impacts and risks. Use the list below for reference and add other issues according to the need.
The activities of planning process can impact or put in risk the:
Environmental impacts:
Air quality.
Noise.
Hydrology and hydrogeology.
Aquatic flora and fauna.
Terrestrial flora and fauna.
Ecosystem services.
Endangered species, sensitive habitats and
other ecological (sensitive) areas.
Landscape.
Other: …….…………..……………….
Other: …….…………..……………….
Social impacts:
Road and transport infrastructure.
Public utilities and services.
Community structures
Tensions between different groups
Employment and income.
Socio-economic activities.
Cultural heritage (e.g., historical properties).
Public health.
Recreation.
Labour and working conditions.
Other: …….………………………..….
*All impacts need to be identified, whether they are beneficial or adverse, short or long-term, temporary or permanent,
direct or indirect, local or transboundary.
5.3 Methodology of the ESIA
Only necessary if an ESIA is required.
● Identify and list international and local good practice on impact assessment. Consider techniques to measure
the extension and probability (e.g., extension, probability, duration, reversibility, intensity, synergic or cumulative
nature, etc.).
● For each impact identified in the baseline study, determine the methodology and fill the box below.
*The methodology should consider the source of impact, the relation with other baseline aspects and the
indicators to assess the extension of the impact.
Impact title (add title from 5.2. Baseline Study):
Impact description ( include extension, probability, duration, reversibility, intensity, synergic or cumulative
nature, etc.).
T30 Environmental and Social Scoping Report Template
Area of influence ( may be a map and list of stakeholders involved) :
Methodology (list the activities, methods and procedures available in your local context to develop the
assessment as well as the indicators that will be used).

280. T31 Environmental and Social Action Plan Template
Description This tool aims to define a plan to manage and monitor the risks and impacts of the activities
during the urban planning for the projects of low risks.
Participants The ESAP is developed by the project leader and the preliminary technical team.
Representatives of the local government, potential key stakeholders, and partners should be involved in the
process to provide their input and feedback.
Instructions
The Environmental and Social Action Plan comprises a presentation of the project, and the Environmental and
Social Management Plan (ESMP) the list of stakeholders to be involved.
Use the information from T30 Environmental and Social Scoping Report Template to present the project. After
that, the team should meet, discuss and define the ESMP. When the information is collected and the measures
are defined, share the ESAP for approval signatures.
Copy from the
Scoping
1. INTRODUCTION OF THE PROJECT
2. REFERENCE FRAMEWORK
Focused on the environmental and social-environmental regulation
2.1 Local laws and regulations
2.2 International Standards the planning process need to comply
3. KEY ENVIRONMENTAL AND SOCIAL ISSUES
4. STAKEHOLDER ENGAGEMENT
5. ENVIRONMENTAL AND SOCIAL BASELINE SITUATION
5.1 Setting the area of influence
5.2 Baseline Studies

281. T31 Environmental and Social Action Plan Template
Develop the
ESMP
6. CONTENT OF EACH MEASURE
Tip: Replicate the table below for each measure
MEASURE 1 (Add title)
Environmental or social aspects
affected by the impact
Associated impact
(Identified and assessed in the Scoping Report)
Project/programme phase
Type of measure (Avoidance or mitigation)
Name of the measure
Objective
Description
Location for the implementation (Project/programme area, area of influence or other)
Method of implementation
Timeframe
Monitoring (Indicator, means of verification and frequency)
7. MONITORING PLAN Overview of all measures
Measure title Monitoring
Indicators
Means of
verification
Frequency Roles and
responsibilities

282. T31 Environmental and Social Action Plan Template
8. STAKEHOLDER ENGAGEMENT
List the steps, actions and tasks to undertake with each of the stakeholders identified in the table of the 7. Monitoring
Plan.
Stakeholder: .……………………………………………….
Actions: ……………………………………………………..
………….………………………….…………………..........
………….………………………….…………………..........
………….………………………….…………………......….
Stakeholder: .……………………………………………….
Actions: ……………………………………………………..
………….………………………….…………………..........
………….………………………….…………………..........
………….………………………….…………………......….
Stakeholder: .……………………………………………….
Actions: ……………………………………………………..
………….………………………….…………………..........
………….………………………….…………………..........
………….………………………….…………………......….
Stakeholder: .……………………………………………….
Actions: ……………………………………………………..
………….………………………….…………………..........
………….………………………….…………………..........
………….………………………….…………………......….
Stakeholder: .……………………………………………….
Actions: ……………………………………………………..
………….………………………….…………………..........
………….………………………….…………………..........
………….………………………….…………………......….
Stakeholder: .……………………………………………….
Actions: ……………………………………………………..
………….………………………….…………………..........
………….………………………….…………………..........
………….………………………….…………………......….
T32 Strategic Projects Workshop
Description This tool guides the identification, prioritisation, and spatialisation of the strategic projects of
the plan, linked to the goals defined in the vision, and the strategies and action lines framework.
Participants This activity is carried out by the technical team, the advisory committee, the steering
committee, and other key stakeholders.
Instructions
Step 1. Review previous outputs
1. In plenary, the technical team shares a presentation that includes the following elements. Have printed
versions of the materials for consultation during the workshop.
The key findings from the analysis and diagnosis, and the Environmental and Social Screening Report.
The vision, goals, strategies and action lines, and the Spatialisation of the Strategic Vision
(Activity 19) maps.
The constraints, challenges and opportunities, and constraints map, the conceptual structure and the
spatial strategies.
2. Participants discuss what are the priority areas of intervention within the city, based on the previous
presentation.
Step 2. Identification and prioritisation of catalytic actions and strategic projects
1. Set thematic stations (tables or areas in the space where the workshop takes place) according to the
defined goals in the vision (e.g. Green and resilient city, Inclusive and equitable city, Prosperous and diverse
city, etc.). Each station should have a title (goal or theme), a blank large paper or a board, coloured sticky
notes, and the map produced in the Spatialisation of the Strategic Vision (Activity 19) corresponding
to that goal.
Tip: An alternative is to define the stations according to the Sustainable Urban Development 5/6P's
(People/Planet/Partnerships/Prosperity/Peace/Planning) or the main thematic areas that resulted from the Analysis and
Diagnosis.
2. Divide participants into groups. Ideally, the number of groups should match the number of stations.
3. Each group starts in one thematic/goal station. Using coloured sticky notes, participants brainstorm
possible catalytic and strategic projects that could be implemented to fulfil the targets of the specific goal.
After a defined time (e.g. 10 minutes), groups rotate to a different station and continue to add projects to
the paper or board. This step is repeated until all groups have participated in all stations, so that all
participants can provide ideas to all goals.
Tip:
1. Use the following guiding questions to facilitate brainstorming and discussion at each thematic table or station:

283. T31 Environmental and Social Action Plan Template
8. STAKEHOLDER ENGAGEMENT
List the steps, actions and tasks to undertake with each of the stakeholders identified in the table of the 7. Monitoring
Plan.
Stakeholder: .……………………………………………….
Actions: ……………………………………………………..
………….………………………….…………………..........
………….………………………….…………………..........
………….………………………….…………………......….
Stakeholder: .……………………………………………….
Actions: ……………………………………………………..
………….………………………….…………………..........
………….………………………….…………………..........
………….………………………….…………………......….
Stakeholder: .……………………………………………….
Actions: ……………………………………………………..
………….………………………….…………………..........
………….………………………….…………………..........
………….………………………….…………………......….
Stakeholder: .……………………………………………….
Actions: ……………………………………………………..
………….………………………….…………………..........
………….………………………….…………………..........
………….………………………….…………………......….
Stakeholder: .……………………………………………….
Actions: ……………………………………………………..
………….………………………….…………………..........
………….………………………….…………………..........
………….………………………….…………………......….
Stakeholder: .……………………………………………….
Actions: ……………………………………………………..
………….………………………….…………………..........
………….………………………….…………………..........
………….………………………….…………………......….
T32 Strategic Projects Workshop
Description This tool guides the identification, prioritisation, and spatialisation of the strategic projects of
the plan, linked to the goals defined in the vision, and the strategies and action lines framework.
Participants This activity is carried out by the technical team, the advisory committee, the steering
committee, and other key stakeholders.
Instructions
Step 1. Review previous outputs
1. In plenary, the technical team shares a presentation that includes the following elements. Have printed
versions of the materials for consultation during the workshop.
The key findings from the analysis and diagnosis, and the Environmental and Social Screening Report.
The vision, goals, strategies and action lines, and the Spatialisation of the Strategic Vision
(Activity 19) maps.
The constraints, challenges and opportunities, and constraints map, the conceptual structure and the
spatial strategies.
2. Participants discuss what are the priority areas of intervention within the city, based on the previous
presentation.
Step 2. Identification and prioritisation of catalytic actions and strategic projects
1. Set thematic stations (tables or areas in the space where the workshop takes place) according to the
defined goals in the vision (e.g. Green and resilient city, Inclusive and equitable city, Prosperous and diverse
city, etc.). Each station should have a title (goal or theme), a blank large paper or a board, coloured sticky
notes, and the map produced in the Spatialisation of the Strategic Vision (Activity 19) corresponding
to that goal.
Tip: An alternative is to define the stations according to the Sustainable Urban Development 5/6P's
(People/Planet/Partnerships/Prosperity/Peace/Planning) or the main thematic areas that resulted from the Analysis and
Diagnosis.
2. Divide participants into groups. Ideally, the number of groups should match the number of stations.
3. Each group starts in one thematic/goal station. Using coloured sticky notes, participants brainstorm
possible catalytic and strategic projects that could be implemented to fulfil the targets of the specific goal.
After a defined time (e.g. 10 minutes), groups rotate to a different station and continue to add projects to
the paper or board. This step is repeated until all groups have participated in all stations, so that all
participants can provide ideas to all goals.
Tip:
1. Use the following guiding questions to facilitate brainstorming and discussion at each thematic table or station:

284. T32 Strategic Projects Workshop
● What are the main challenges that exist to achieve the goal or make improvements in the thematic area?
● What projects could be implemented to meet vision and goals of the plan?
● What does the proposed initiative or project consist of?
● Does a similar project or initiative already exist? If so, who is working on it?
● Who would be in charge of implementation? Who are the stakeholders involved with capacity/expertise in this
area? For example, municipal government, NGOs, etc.
● When could this initiative start? For example, in the short, medium or long term.
● Are there known examples (local or international) of similar initiatives to learn from?
2. As time passes and there are more ideas in each station, participants will probably need less time. Recommended
times for the activity: station 1: 20 minutes, station 2: 15 minutes, station 3: 10 minutes, station 4: 5 minutes. An
alternative is for each group of participants to brainstorm and discuss only one of the topics.
4. Participants take some time to go around the room and read all the proposed projects and actions for each
goal or theme. Individually, they vote on a pre-defined number of projects (e.g. 2 for each goal). This can be
done using voting dots (stickers). The goal is to map which projects are the most important for the collective
of all participants.
Step 3. Spatialisation
1. Participants divide into groups again, and stay in one of the thematic stations. They review the most voted
projects, and have a discussion of their relevance to the goal and area of intervention.
2. Using a map, they identify the area(s) and specific locations where these projects and actions could be
implemented.
Tip: For this activity, it is useful to have the constraints, challenges and opportunities, and constraints map, the
conceptual structure and the spatial strategies maps printed out for reference.
3. Each group shares their results in plenary, collecting feedback or any other projects or locations that
come
up. A notetaker should document the discussion.
Step 4. Systematization and list of strategic projects
4. After the workshop, the technical team systematizes the information to define a list of projects in alignment
with the vision, goals, strategies and lines of action. Additionally, different categories can be added, such
as their level of complexity, their possible cost, the number of objectives to which they respond, etc., which
will later serve in the prioritization and programming of projects. Strategic projects should be linked to more
than one objective. The final list of projects can be shared with the workshop participants and/or advisory
committee for feedback and validation.
Tip: The projects obtained from the workshop can also be categorised into other themes, for example:
● Metropolitan: those that go beyond municipal boundaries and therefore require greater coordination of actors and effective governance for implementation:
● Catalytic: smaller scale interventions with the possibility of being implemented in the short term.
● Strategic: projects that respond to several objectives of the plan and vision, are located in priority and strategic areas and their implementation can trigger comprehensive urban processes.

285. T32 Strategic Projects Workshop
● What are the main challenges that exist to achieve the goal or make improvements in the thematic area?
● What projects could be implemented to meet vision and goals of the plan?
● What does the proposed initiative or project consist of?
● Does a similar project or initiative already exist? If so, who is working on it?
● Who would be in charge of implementation? Who are the stakeholders involved with capacity/expertise in this
area? For example, municipal government, NGOs, etc.
● When could this initiative start? For example, in the short, medium or long term.
● Are there known examples (local or international) of similar initiatives to learn from?
2. As time passes and there are more ideas in each station, participants will probably need less time. Recommended
times for the activity: station 1: 20 minutes, station 2: 15 minutes, station 3: 10 minutes, station 4: 5 minutes. An
alternative is for each group of participants to brainstorm and discuss only one of the topics.
4. Participants take some time to go around the room and read all the proposed projects and actions for each
goal or theme. Individually, they vote on a pre-defined number of projects (e.g. 2 for each goal). This can be
done using voting dots (stickers). The goal is to map which projects are the most important for the collective
of all participants.
Step 3. Spatialisation
1. Participants divide into groups again, and stay in one of the thematic stations. They review the most voted
projects, and have a discussion of their relevance to the goal and area of intervention.
2. Using a map, they identify the area(s) and specific locations where these projects and actions could be
implemented.
Tip: For this activity, it is useful to have the constraints, challenges and opportunities, and constraints map, the
conceptual structure and the spatial strategies maps printed out for reference.
3. Each group shares their results in plenary, collecting feedback or any other projects or locations that come
up. A notetaker should document the discussion.
Step 4. Systematization and list of strategic projects
4. After the workshop, the technical team systematizes the information to define a list of projects in alignment
with the vision, goals, strategies and lines of action. Additionally, different categories can be added, such
as their level of complexity, their possible cost, the number of objectives to which they respond, etc., which
will later serve in the prioritization and programming of projects. Strategic projects should be linked to more
than one objective. The final list of projects can be shared with the workshop participants and/or advisory
committee for feedback and validation.
Tip: The projects obtained from the workshop can also be categorised into other themes, for example:
● Metropolitan: those that go beyond municipal boundaries and therefore require greater coordination of actors
and effective governance for implementation:
● Catalytic: smaller scale interventions with the possibility of being implemented in the short term.
● Strategic: projects that respond to several objectives of the plan and vision, are located in priority and strategic
areas and their implementation can trigger comprehensive urban processes.
T33 Project Prioritisation Template
Description This tool provides a rational criteria to prioritise catalytic projects for the Strategic Development Plan and identify which are the most urgent projects
to develop.
Participants This activity is carried out by the technical team.
Instructions
1. Use the template at the end of this tool to list the catalytic projects that emerged during the Catalytic Projects Workshop.
2. Indicate which goals and targets would be ful filled by implementing the listed projects and if they are located in a prioritised area.
3. Evaluate the criteria and evaluation guide below. Particularly, the impact is related to the social and environmental bene fits that the implementation of the project
would bring. Use the following guiding questions to evaluate th ese three components. Ideally, projects with a greater number of
✓
should be prioritised.
a. What is the cost of the overall project implementation? Does this impact the municipality's existing budget?
b. How long would it take to implement the project? Would it be completed within the current municipal mandate? If not, will the next government be able to
complete it?
c. Are there any partners or stakeholders willing to finance this speci fic project? Are there any regional or national bonuses provided for such projects?
d. How does this project improve the quality of life of city dwellers and of the surrounding residents? What are the threats this project could bring to society?
e. Does the project respond to an urgent situation that requires quick responses?
f. What is the environmental footprint of the project? Would it reduce carbon emissions? Would it improve the resilience of the city and the region?
g. Overall, is this project a “low hanging fruit”, easy to reach and with great positive impact?
h. Is this project also considered a national or regional priority?
● Priority Area (1 = low priority; 2 = medium priority; 3 = high priority)
● Cost (1 = high cost; 2 = medium cost; 3 = low cost)
● Time (1 = long-term; 2 = mid-term; 3 = short-term)
● Technical feasibility (1 = dif ficult; 2 = feasible; 3 = easy)
● Urgency (1 = not urgent; 2 = urgent; 3 = very urgent)
● Stakeholder acceptability (1 = low; 2 = medium; 3 = high)
● Impact (1 = low impact; 2 = medium impact; 3 = high impact)
● Mainstreaming potential (1 = low; 2 = medium; 3 = high)

286. T33 Project Prioritisation Template Prioritisation Template
Catalytic or strategic
projects
Linked
Goals
Linked
targets
Priority
Area
Cost Time Technical
feasibility
Urgency Stakeholder
acceptability
Impact Mainstreaming
potential
SCORE RELATIVE
RANK
1 Highway construction 1, 3, 5 1.2,
3.3,
5.1
3 1 2 2 2 3 3 2
2 Church 2 2.1 1 3 3 3 1 2 1 1
3
4
5
6
7
8
9
10

287. T33 Project Prioritisation Template
11
12 Climate Action
For climate actions purposes, column A of the prioritisation template can be changed and used for assessing and prioritising adaptation options, identi fied
through TX Adaptation options identi fication. As a result of this process, a number of prioritised actions will emerge. At a later phase, these should be fully
screened in order to ensure that there are no environmental and social risks, particularly risks that may affect people in vulnerable situations
References:
Climate Change Vulnerability and Risk (5.3. Prioritising actions)
4. Prepare a final report with the prioritised projects, detailing clearly aspects such as actual estimated costs of an urban project, financial responsible entities,
timeline for implementation, main actors, beneficiaries etc. This document will be key in the operationalisation phase, to draw investment and define the action
plan.

288. T34 Adaptation Options Identification
Description This tool is used to prepare a checklist of possible adaptation options based on the
identification of climate hazards and their potential impacts, while also considering the urban planning goals
and targets
Participants This activity is carried out by the technical team, the advisory committee, the steering
committee, and other key stakeholders.
Instructions
Step 1. Formulate a longlist of possible adaptation options
1. Identify the main climate hazards and primary and secondary impacts. The implementation of the T17
Climate Impact Chain Diagram, T16 Participatory incremental Mapping and the T20 Climate Vulnerability
Assessment can facilitate the identification of climate hazards.
2. Identify at least three possible adaptation options for each impact. Climate adaptation options cover an
extensive number of possibilities that include, actions, policies, strategies and programmes for increasing
adaptive capacity through physical transformation/conservation of the built and natural environment and
through strengthening the social and institutional response and capacities to address climate impacts.
Climate Hazard Primary/secondary impacts Adaptation Options
Drought Reduced water supply 1. Water management plan
2. Water conservation and awareness programme
3. Rainwater harvesting

4. groundwater recharge and improved infiltration
5. Minimise system leaks and other water loss (e.g. surface
reservoir evaporation)
6. Expanded or new reservoir capacity
7. Infrastructure upgrades and repair (e.g. reservoirs)
Reduced power generation 1. Construct or augment water storage reservoirs
2. Optimise reservoir management and improve energy output
by adapting to changes in rainfall or river flow patterns
3. Support alternative energy production and distribution
systems (e.g. urban solar and wind power)
Reduced agricultural
production
1. Construct infrastructure for aquifer storage and recovery
2. Implement watershed management
3. Create drought emergency response and contingency plans
4. Adopt drought-resilient crops and diversey crop production
5. Diversify water supply through different sources (e.g
rainwater harvesting, water trading establishment,
desalination)
Step 2. Link Goals and targets with adaptation options.
T34 Adaptation Options Identification
Based on the longslist elaborated in Step 1, the city’s targets and goals should also be able to mainstream
climate change adaptation options.
1. For each of the city’s goals,describe whether and how the achievement of its targets could be affected by
climate change.
2. For those targets where a risk of climate change has been identified, select the suggested adaptation
option from the long list that would allow for adaptation to the impacts of climate change and therefore
help achieve the target. Note that some of the adaptation options that are linked to a goal and target may
not have been identified in the list of adaptation options.
Goals Targets
Link to climate
change (risks,
threats and
impacts)
Affected by
climate
change?
Adaptation Options
Yes No
Promote community well-being Protect drinking water supply Seasonal droughts reduce
water supply
x 1. Implement a water management plan.
2. Implement a water conservation and awareness programme.
3. Adopt rainwater harvesting,
4. Groundwater recharge and improved infiltration.
5. Minimise system leaks and other water loss (e.g. surface reservoir evaporation).
Prosperous cities Improve energy supply Power
generation
susceptible to be
reduced due to a
lack of water
during periods of
drought
x 1. Construct or augment water storage reservoirs
2. Optimise reservoir management and improve energy output by adapting to changes in rainfall or river flow patterns
3. Support alternative energy production and distribution systems (e.g. urban solar and wind power)
Expand regional rail links Not affected x

289. T34 Adaptation Options Identification
Description This tool is used to prepare a checklist of possible adaptation options based on the
identification of climate hazards and their potential impacts, while also considering the urban planning goals
and targets
Participants This activity is carried out by the technical team, the advisory committee, the steering
committee, and other key stakeholders.
Instructions
Step 1. Formulate a longlist of possible adaptation options
1. Identify the main climate hazards and primary and secondary impacts. The implementation of the T17
Climate Impact Chain Diagram, T16 Participatory incremental Mapping and the T20 Climate Vulnerability
Assessment can facilitate the identification of climate hazards.
2. Identify at least three possible adaptation options for each impact. Climate adaptation options cover an
extensive number of possibilities that include, actions, policies, strategies and programmes for increasing
adaptive capacity through physical transformation/conservation of the built and natural environment and
through strengthening the social and institutional response and capacities to address climate impacts.
Climate Hazard Primary/secondary impacts Adaptation Options
Drought Reduced water supply 1. Water management plan
2. Water conservation and awareness programme
3. Rainwater harvesting
4. groundwater recharge and improved infiltration
5. Minimise system leaks and other water loss (e.g. surface
reservoir evaporation)
6. Expanded or new reservoir capacity
7. Infrastructure upgrades and repair (e.g. reservoirs)
Reduced power generation 1. Construct or augment water storage reservoirs
2. Optimise reservoir management and improve energy output
by adapting to changes in rainfall or river flow patterns
3. Support alternative energy production and distribution
systems (e.g. urban solar and wind power)
Reduced agricultural
production
1. Construct infrastructure for aquifer storage and recovery
2. Implement watershed management
3. Create drought emergency response and contingency plans
4. Adopt drought-resilient crops and diversey crop production
5. Diversify water supply through different sources (e.g
rainwater harvesting, water trading establishment,
desalination)
Step 2. Link Goals and targets with adaptation options.
T34 Adaptation Options Identification
Based on the longslist elaborated in Step 1, the city’s targets and goals should also be able to mainstream
climate change adaptation options.
1. For each of the city’s goals,describe whether and how the achievement of its targets could be affected by
climate change.
2. For those targets where a risk of climate change has been identified, select the suggested adaptation
option from the long list that would allow for adaptation to the impacts of climate change and therefore
help achieve the target. Note that some of the adaptation options that are linked to a goal and target may
not have been identified in the list of adaptation options.
Goals Targets
Link to climate
change (risks,
threats and
impacts)
Affected by
climate
change?
Adaptation Options
Yes No
Promote
community
well-being
Protect drinking
water supply
Seasonal
droughts reduce
water supply
x 1. Implement a water management
plan.
2. Implement a water conservation
and awareness programme.
3. Adopt rainwater harvesting,
4. Groundwater recharge and
improved infiltration.
5. Minimise system leaks and other
water loss (e.g. surface reservoir
evaporation).
Prosperous cities Improve energy
supply
Power
generation
susceptible to be
reduced due to a
lack of water
during periods of
drought
x 1. Construct or augment water
storage reservoirs
2. Optimise reservoir management
and improve energy output by
adapting to changes in rainfall or
river flow patterns
3. Support alternative energy
production and distribution
systems (e.g. urban solar and
wind power)
Expand regional
rail links
Not affected x

290. T35 Preliminary Financial Plan Template
Description This tool provides two templates to map the necessary information and criteria in order to
develop a preliminary financial plan.
Participants This activity is carried out by the members of the technical team with a strong knowledge of
finance and economics.
Link Digital Tool spreadsheet
Table 1. Mapping activities and projects to Financial Mechanisms Template
Instructions
1. Review the results from T4 Financial Assessment Guide and add the available resources for the project
(Initial budget).
2. List the activities foreseen by each project, their estimated cost and the time frame needed to implement
them. This costing would need to look for examples of the public infrastructure that needs to be put in
place as per project, as well as additional operational costs (e.g., management, monitoring,
communication).
3. Map the financial mechanisms identified as potentially most suitable: it is best to start linking them to each
activity.
4. Indicate if the
financial mechanism is new or not. A new financial mechanism is not foreseen nor has never
been implemented in the legal and financial framework of the plan.
5. Calculate a range of estimated revenue that can be obtained by each financial mechanism.
Project
Estimated cost

Time
Frame
Financial
Mechanism
Is the
FM
new?
Estimated
revenue
of FM (range)
Periodicity
min max min max
Example: Management 12 months
Own Source
Revenue No
Yes
One time
charge

291. T35 Preliminary Financial Plan Template
Description This tool provides two templates to map the necessary information and criteria in order to
develop a preliminary financial plan.
Participants This activity is carried out by the members of the technical team with a strong knowledge of
finance and economics.
Link Digital Tool spreadsheet
Table 1. Mapping activities and projects to Financial Mechanisms Template
Instructions
1. Review the results from T4 Financial Assessment Guide and add the available resources for the project
(Initial budget).
2. List the activities foreseen by each project, their estimated cost and the time frame needed to implement
them. This costing would need to look for examples of the public infrastructure that needs to be put in
place as per project, as well as additional operational costs (e.g., management, monitoring,
communication).
3. Map the financial mechanisms identified as potentially most suitable: it is best to start linking them to each
activity.
4. Indicate if the financial mechanism is new or not. A new financial mechanism is not foreseen nor has never
been implemented in the legal and financial framework of the plan.
5. Calculate a range of estimated revenue that can be obtained by each financial mechanism.
Project
Estimated cost
Time
Frame
Financial
Mechanism
Is the
FM
new?
Estimated
revenue
of FM (range)
Periodicity
min max min max
Example: Management 12 months
Own Source
Revenue No
Yes
One time
charge
T35 Preliminary Financial Plan Template
Initial budget (T4)
Total
Estimated
cost Budget gap Total estimated revenue
0
0 0
min max
0 0
Table 2. Implementation of new financial mechanisms: feasibility assessment table
Instructions
List all the financial mechanisms that have been indicated as new in the previous table.
1. Indicate who has the authority to implement the financial mechanisms.
2. Indicate the approximate time that would be needed for the mechanism to be authorised by the relevant
authority. Take into account also the time needed to get approval to use the new mechanism for this
specific plan. Indicate if the time needed is compatible with the overall time available to develop the plan.
Financial mechanism Authority to implement Implement
ation time
Compatibility
with plan time
framework
if no, specify

who does
Example: Betterment charges Yes 3 months Yes
Tip: For this activity, it is useful to list all the references and resources containing important information related to the
future implementability of the financial mechanisms (e.g. laws, past application cases, forms, documents etc.)

292. T36 Compatibility of Functions Guide
Description This tool guides the definition of forbidden, tolerated and conditional uses for each land-use
category, depending on development zones and planned densities.
Participants This activity is carried out by the technical team.
Instructions
1. Define land-use categories considering the specificity of the context, such the following:
a. Residential
b. Commercial
c. Mixed-use
d. Industrial / transport
e. Education
f. Religion
g. Heritage
h. Administrative & Public Facilities
i. Public open space
j. Agriculture
k. Protected areas (wetlands, national
park
Tip: Land-use categories should not be too detailed, but rather simple, and there should be no more than 7-10
categories. This will help to simplify regulatory directives and understand the city structure. Depending on the context,
functions such as religious buildings or schools could be part of "public facilities", and theatres, libraries and cinemas
could be part of a “cultural facilities” category.
Example of proposed land-use map:

293. T36 Compatibility of Functions Guide
Description This tool guides the definition of forbidden, tolerated and conditional uses for each land-use
category, depending on development zones and planned densities.
Participants This activity is carried out by the technical team.
Instructions
1. Define land-use categories considering the specificity of the context, such the following:
a. Residential
b. Commercial
c. Mixed-use
d. Industrial / transport
e. Education
f. Religion
g. Heritage
h. Administrative & Public Facilities
i. Public open space
j. Agriculture
k. Protected areas (wetlands, national
park
Tip: Land-use categories should not be too detailed, but rather simple, and there should be no more than 7-10
categories. This will help to simplify regulatory directives and understand the city structure. Depending on the context,
functions such as religious buildings or schools could be part of "public facilities", and theatres, libraries and cinemas
could be part of a “cultural facilities” category.
Example of proposed land-use map:
T36 Compatibility of Functions Guide
Madinah, Saudi Arabia (Future Saudi Cities Programme, UN-Habitat, 2018. Resource Link )
Before assigning land-use categories to sub-zones and plots, it is important to define forbidden, tolerated and
conditional uses, considering the development zones and the densities proposed in the Strategic Development
Plan. This is a crucial step to improve quality of life, and incentivize best practices and recommended uses.
Instead of focusing on allowed land uses, the proposed approach enhances flexibility in the planning process
to adapt to local demands.
2. Review the Strategic Development Plan, specifically the development zones (strategic, social,
environmental, cultural), the spatial strategies, and strategic densities assigned.
3. Review any national or regional planning document providing directives of incompatible functions. Below
are provided UN-Habitat's definitions and the financial implications for developers:
Forbidden Uses Tolerated Uses Conditional Uses
Planners classify a land use as
forbidden only when the use is
absolutely incompatible, as they
would cause serious social,
economic and environmental
disruptions.
Planners classify uses as tolerated when
there are inadequate externalities. However,
depending on the density, its suspension
could cause social, economic and
environmental disruptions. High densities

allow development of some tolerated uses.
Planners classify uses as conditional whenever they can potentially generate social, economic and environmental impacts on a neighbourhood.
Developers are prohibited from developing incompatible uses. Existing forbidden uses face progressive taxation and could be dismissed in exchange of development rights or other compensation mechanisms.
Developers are not entitled to new permits.
Existing uses are tolerated however with
disincentives and potential mitigation
measures. High densities do not always
apply progressive taxation.
Developers are entitled to new permits under certain conditions and the approval of local participatory governance mechanisms and mitigation measures.
Relation between forbidden, tolerated and conditional uses and urban density:

294. T36 Compatibility of Functions Guide
4. Define the forbidden uses for each land-use category and compile them in the following matrix. These
depend on the potential disruption they would cause in the neighbourhood (e.g. air pollution, sound
pollution, heavy traffic congestion, negative impact on land-value, gentrification, shortage of electricity or
water due to high demand, etc.)
5. Define the tolerated uses for each land-use category and compile them in the following matrix. These
depend on the balance of positive and negative impact that would generate in the neighbourhood (e.g.
pubs increase public life and diversity, however in certain context alcohol sale might generate unsafety)
6. Define the conditional uses for each land-use category and compile them in the following matrix.
Conditional uses make the plan flexible to accommodate uses which can bring benefits (through mitigation
measures) for the community in terms of job creations, based on the neighbourhood environmental, social,
and impact assessments.
7. Depending on the density proposed in the Strategic Development Plan, some tolerated uses could be
considered as conditional. Higher densities encourage higher degrees of diversity and allow the integration
of more functions.
8. Consolidate the Compatibility of Functions matrix as a reference for the overall Land Management Plan.
Localised incompatibilities for specific areas could be described with a note or a site-specific matrix. Use
the matrix to develop regulatory directives and negotiate with developers.
Compatibility of Functions Matrix
Category Forbidden Uses Tolerated Uses Conditional Uses
Residential

295. T36 Compatibility of Functions Guide
4. Define the forbidden uses for each land-use category and compile them in the following matrix. These
depend on the potential disruption they would cause in the neighbourhood (e.g. air pollution, sound
pollution, heavy traffic congestion, negative impact on land-value, gentrification, shortage of electricity or
water due to high demand, etc.)
5. Define the tolerated uses for each land-use category and compile them in the following matrix. These
depend on the balance of positive and negative impact that would generate in the neighbourhood (e.g.
pubs increase public life and diversity, however in certain context alcohol sale might generate unsafety)
6. Define the conditional uses for each land-use category and compile them in the following matrix.
Conditional uses make the plan flexible to accommodate uses which can bring benefits (through mitigation
measures) for the community in terms of job creations, based on the neighbourhood environmental, social,
and impact assessments.
7. Depending on the density proposed in the Strategic Development Plan, some tolerated uses could be
considered as conditional. Higher densities encourage higher degrees of diversity and allow the integration
of more functions.
8. Consolidate the Compatibility of Functions matrix as a reference for the overall Land Management Plan.
Localised incompatibilities for specific areas could be described with a note or a site-specific matrix. Use
the matrix to develop regulatory directives and negotiate with developers.
Compatibility of Functions Matrix
Category Forbidden Uses Tolerated Uses Conditional Uses
Residential
T36 Compatibility of Functions Guide
Commercial
Mixed-use
Industrial / transport
Education
Religion
Heritage
Administrative
Public open space
Agriculture
Protected areas
Public facilities
Other

296. T37 Land Use Indicators
Description This tool helps to assign land-use categories and define regulatory directives for the Land
Management sub-zones. This aims to incentivize conditional use and sustainable urbanisation, using
land-based financial mechanisms.
Participants This activity is carried out by the technical team and validated by the advisory committee.
Instructions:
Step 1. Define smart regulatory directives for land use, occupancy and exploitation
The Land Management Plan sets the minimum standards and urban planning directives to regulate the land
and negotiate with developers, in order to promote mixed-use spaces, social and economic mix of built areas,
compact city and adequate densities, and connectivity — principles established in the New Urban Agenda.
The following index needs to be defined:
Indicator Description
Building Coverage
Ratio (BCR),
Also called development index, it is the ratio between the building footprint and the plot area.
This index is used to ensure a minimum of permeable surface in the plot and it varies
between 0%, permeable area is zero, and 100% which means that it is not possible to build
on this area. This index is useful in environmentally sensitive areas or in protected areas.
Urban Green Spaces
(UGS)
This ratio
describes the surface of green spaces per capita. The World Health Organisation
(WHO) recommended a minimum of 9m
2
of green space per individual, the ideal UGS value
being 50 m2 per capita.
Floor Area Ratio (FAR) Also called occupancy index, it is the ratio between the total floor area of the buildings and
the plot area. This number indicates the maximum development rights reachable in a plot,
set by the infrastructure capacities of the neighbourhood (streets, public transport, basic
services, etc). It depends on the number of floors and the floor areas. UN-Habitat promotes
the use of three different FAR to promote sustainable urbanisation and good urban practices:
basic FAR, property FAR and incentive FAR.
Basic FAR It is the minimum FAR required and freely granted with the acquisition of the land. Developers
are recommended to reach at least the minimum FAR otherwise they are charged
with
progressive taxation. This discourages sprawl and speculative urban practices.
Property FAR It is the maximum acquirable development rights in a plot. Developers pay progressive
taxation considering how much they are willing to develop.
Incentive FAR It is an extra % of development rights freely granted by the municipality if the developer has
implemented or is willing to implement good urban practices such as rental social housing,
public spaces, mixed-use, active facade and physical permeability, as well as participatory
governance and planning practices. This extra % is still calculated within the infrastructure
capacities of the neighbourhood.
Note: Basic, Property and incentive FAR are also related to forbidden, tolerated and conditional uses. As mentioned
earlier, forbidden use is not allowed. Developers are allowed to build tolerated use, however, they would not be able to
access new development permits, being restricted to the basic FAR, and might face progressive taxation. Conditional
T37 Land Use Indicators
use, coupled with good urban practices and participatory planning and governa, would entitle developers with new
permits and reach property and incentive FAR.
Number of stories and building height It indicates the possibility of verticalization of the land and establishes the maximum number
of stories and the maximum building height. This index is useful to preserve a qualitative
urban landscape and a consistent image of the city. It is possible to have both or only one of
the two.
Construction setback It refers to the minimum distance between the buildings and the plot perimeter. This is not
always needed but it is a great tool to ensure buffer zones in specific areas, such as coastal
areas, riverbanks or close to airports.
Facade detail code It provides specific guidelines for the facade design of the building or any architectural
requirements, in order to blend the building with the urban landscape or preserve any cultural
or historical style and traditions of the context (e.g. color code for the building, dimensions
and typologies of openings, lighting, decoration, etc.).
Relations between the maximum infrastructure capacity, the FAR indexes and the Density Bonus:
1. Review any existing local, regional or national document related to these indexes.
2. Define the indexes for each sub-zone, considering the spatial strategies defined for that specific area and
the implications identified in the Spatial Strategies Guide (T29 of Activity E18) (extension, densification,
regeneration, conservation). The indexes should support the implementation of a compact and diverse city.
3. Fill in the following ID table for each sub-zone of the city and compile them together in a comprehensive
report that will form the Land Management Plan.

297. T37 Land Use Indicators
Description This tool helps to assign land-use categories and define regulatory directives for the Land
Management sub-zones. This aims to incentivize conditional use and sustainable urbanisation, using
land-based financial mechanisms.
Participants This activity is carried out by the technical team and validated by the advisory committee.
Instructions:
Step 1. Define smart regulatory directives for land use, occupancy and exploitation
The Land Management Plan sets the minimum standards and urban planning directives to regulate the land
and negotiate with developers, in order to promote mixed-use spaces, social and economic mix of built areas,
compact city and adequate densities, and connectivity — principles established in the New Urban Agenda.
The following index needs to be defined:
Indicator Description
Building Coverage
Ratio (BCR),
Also called development index, it is the ratio between the building footprint and the plot area.
This index is used to ensure a minimum of permeable surface in the plot and it varies
between 0%, permeable area is zero, and 100% which means that it is not possible to build
on this area. This index is useful in environmentally sensitive areas or in protected areas.
Urban Green Spaces
(UGS)
This ratio describes the surface of green spaces per capita. The World Health Organisation
(WHO) recommended a minimum of 9m
2
of green space per individual, the ideal UGS value
being 50 m2 per capita.
Floor Area Ratio (FAR) Also called occupancy index, it is the ratio between the total floor area of the buildings and
the plot area. This number indicates the maximum development rights reachable in a plot,
set by the infrastructure capacities of the neighbourhood (streets, public transport, basic
services, etc). It depends on the number of floors and the floor areas. UN-Habitat promotes
the use of three different FAR to promote sustainable urbanisation and good urban practices:
basic FAR, property FAR and incentive FAR.
Basic FAR It is the minimum FAR required and freely granted with the acquisition of the land. Developers
are recommended to reach at least the minimum FAR otherwise they are charged with
progressive taxation. This discourages sprawl and speculative urban practices.
Property FAR It is the maximum acquirable development rights in a plot. Developers pay progressive
taxation considering how much they are willing to develop.
Incentive FAR It is an extra % of development rights freely granted by the municipality if the developer has
implemented or is willing to implement good urban practices such as rental social housing,
public spaces, mixed-use, active facade and physical permeability, as well as participatory
governance and planning practices. This extra % is still calculated within the infrastructure
capacities of the neighbourhood.
Note: Basic, Property and incentive FAR are also related to forbidden, tolerated and conditional uses. As mentioned
earlier, forbidden use is not allowed. Developers are allowed to build tolerated use, however, they would not be able to
access new development permits, being restricted to the basic FAR, and might face progressive taxation. Conditional
T37 Land Use Indicators
use, coupled with good urban practices and participatory planning and governa, would entitle developers with new
permits and reach property and incentive FAR.
Number of stories and
building height
It indicates the possibility of verticalization of the land and establishes the maximum number
of stories and the maximum building height. This index is useful to preserve a qualitative
urban landscape and a consistent image of the city. It is possible to have both or only one of
the two.
Construction setback It refers to the minimum distance between the buildings and the plot perimeter. This is not
always needed but it is a great tool to ensure buffer zones in specific areas, such as coastal
areas, riverbanks or close to airports.
Facade detail code It provides specific guidelines for the facade design of the building or any architectural
requirements, in order to blend the building with the urban landscape or preserve any cultural
or historical style and traditions of the context (e.g. color code for the building, dimensions
and typologies of openings, lighting, decoration, etc.).
Relations between the maximum infrastructure capacity, the FAR indexes and the Density Bonus:
1. Review any existing local, regional or national document related to these indexes.
2. Define the indexes for each sub-zone, considering the spatial strategies defined for that specific area and
the implications identified in the Spatial Strategies Guide (T29 of Activity E18) (extension, densification,
regeneration, conservation). The indexes should support the implementation of a compact and diverse city.
3. Fill in the following ID table for each sub-zone of the city and compile them together in a comprehensive
report that will form the Land Management Plan.

298. T37 Land Use Indicators
Parcel ID: …………………………..…………………..…… Area: …………………………..…………………..……
Insert scaled map of the sub-zone
Developing Zone Strategic / Social / Environmental / Cultural - Transformation / Consolidation zone
Strategic Density High / medium / low
Spatial Strategy Expansion / regeneration / densification / conservation / none
Land-use
Forbidden/ tolerated/
conditional use
BCR %
UGS m ² /capita
Basic FAR %
Property FAR %
Incentive FAR %
Maximum # stories #
Maximum height (m) m
Thematic
recommendations
Basic services, housing, electricity, drainage, etc.
Cross-cutting
recommendations
Social inclusion, safety, resilience
Notes
Step 2. Define simplified land-based finance mechanisms
Define a series of land-based finance mechanisms to regulate the city development through incentives. There
are several strategies to encourage best urban practices and development of conditional uses. Use the list
included in the T5 Financial Mechanisms Catalogue tool as a reference.

299. T37 Land Use Indicators
Parcel ID: …………………………..…………………..…… Area: …………………………..…………………..……
Insert scaled map of the sub-zone
Developing Zone Strategic / Social / Environmental / Cultural - Transformation / Consolidation zone
Strategic Density High / medium / low
Spatial Strategy Expansion / regeneration / densification / conservation / none
Land-use
Forbidden/ tolerated/
conditional use
BCR %
UGS m ² /capita
Basic FAR %
Property FAR %
Incentive FAR %
Maximum # stories #
Maximum height (m) m
Thematic
recommendations
Basic services, housing, electricity, drainage, etc.
Cross-cutting
recommendations
Social inclusion, safety, resilience
Notes
Step 2. Define simplified land-based finance mechanisms
Define a series of land-based finance mechanisms to regulate the city development through incentives. There
are several strategies to encourage best urban practices and development of conditional uses. Use the list
included in the T5 Financial Mechanisms Catalogue tool as a reference.
T37 Land Use Indicators
Land-based finance mechanisms related to basic, property or incentive FAR and good urban practices:

300. T38 Detailed Data Gathering and Analysis
Description This tool guides the additional data gathering and analysis needed to develop the
Neighbourhood Plan.
Participants This activity is carried out by the technical team, although some activities for field research can
include external participants (e.g. actors from the local community, local experts, etc.).
Instructions
1. Review the data produced from the city Block D Analysis and Diagnostic. Most of the information needed
for the Neighbourhood Plan should have been compiled at the city level. Review the information
corresponding to the selected neighbourhood and review that it is accurate. Take note of any layer or area
that needs to be updated or adjusted with additional field research. Finally, produce new detailed maps
corresponding to the selected neighbourhood area.
2. Additional and more detailed information should be gathered at the neighbourhood scale. Using the tables
below as a guide, define the data that should be compiled and choose the research method to collect it.
Additional Data Gathering and Analysis for the Neighbourhood Scale
Crime and
insecurity
Delictive and/or crime areas.
Geo-referenced records of crime events.
Perceptions of safe/unsafe zones and reasons behind (lack of public lighting, unsafe
intersections, etc.).
Local climate
hazards
Areas with the greatest historical damage due to earthquakes
Areas exposed to volcanic hazards
Areas that are exposed to climate-related hazards (e.g., areas prone to floods, steep slopes
prone to landslides).
Areas that are not exposed to climate-related hazards (safe havens).
Areas prone to water stagnation. Past climate-related events and their impacts on the community (e.g., flood levels reached)
Economic activity and employment
Economic units by type of activity. Sources of employment (percentages by type). Data about the real estate market. Characteristics of other relevant industries in the area (e.g. tourism)
Public Open Spaces
Accessibility to public open spaces, amenities and furniture, comfort and safety, vegetation and green environment, intensity and types of use, diversity of users. For more information of how to collect data of public spaces, use the Public Space Site-Specific Assessment ( https://unhabitat.org/public-space-site-specific-assessment-guidelines-to-achieve-quality-publi
c-spaces-at-neighbourhood ).
Urban morphology and building typologies
Classification of urban morphology and building typologies according to different areas. Quality of buildings and location of urban voids.
Mobility Intraurban connectivity, most transited routes and streets, public transportation routes. Location and physical characteristics of bike lanes and sidewalks. Motorised and non-motorized transportation modes, modal split. Origin-destiny trips.

301. T38 Detailed Data Gathering and Analysis
Description This tool guides the additional data gathering and analysis needed to develop the
Neighbourhood Plan.
Participants This activity is carried out by the technical team, although some activities for field research can
include external participants (e.g. actors from the local community, local experts, etc.).
Instructions
1. Review the data produced from the city Block D Analysis and Diagnostic. Most of the information needed
for the Neighbourhood Plan should have been compiled at the city level. Review the information
corresponding to the selected neighbourhood and review that it is accurate. Take note of any layer or area
that needs to be updated or adjusted with additional field research. Finally, produce new detailed maps
corresponding to the selected neighbourhood area.
2. Additional and more detailed information should be gathered at the neighbourhood scale. Using the tables
below as a guide, define the data that should be compiled and choose the research method to collect it.
Additional Data Gathering and Analysis for the Neighbourhood Scale
Crime and
insecurity
Delictive and/or crime areas.
Geo-referenced records of crime events.
Perceptions of safe/unsafe zones and reasons behind (lack of public lighting, unsafe
intersections, etc.).
Local climate
hazards
Areas with the greatest historical damage due to earthquakes
Areas exposed to volcanic hazards
Areas that are exposed to climate-related hazards (e.g., areas prone to floods, steep slopes
prone to landslides).
Areas that are not exposed to climate-related hazards (safe havens).
Areas prone to water stagnation.
Past climate-related events and their impacts on the community (e.g., flood levels reached)
Economic activity
and employment
Economic units by type of activity.
Sources of employment (percentages by type).
Data about the real estate market.
Characteristics of other relevant industries in the area (e.g. tourism)
Public Open
Spaces
Accessibility to public open spaces, amenities and furniture, comfort and safety, vegetation and
green environment, intensity and types of use, diversity of users. For more information of how to
collect data of public spaces, use the Public Space Site-Specific Assessment
( https://unhabitat.org/public-space-site-specific-assessment-guidelines-to-achieve-quality-publi
c-spaces-at-neighbourhood ).
Urban morphology
and building
typologies Classification of urban morphology and building typologies according to different areas.
Quality of buildings and location of urban voids.
Mobility Intraurban connectivity, most transited routes and streets, public transportation routes.
Location and physical characteristics of bike lanes and sidewalks.
Motorised and non-motorized transportation modes, modal split.
Origin-destiny trips.
T38 Detailed Data Gathering and Analysis
Location of urban
amenities
Location of urban amenities and their accessibility: educational (schools and universities),
residential, commercial (shops, markets, banks), industrial (heavy and light), cultural, religious
centres, health centres, public open spaces (recreational areas, sports facilities, parks, public
squares), government buildings, etc.
Housing Real estate offer, number of units, number of inhabitants per dwelling and per room, prevailing
materials, etc.
Access to basic
services
Electricity and street lighting, water and sewage, waste management, telecommunications, etc.
Informal
settlements
geographic location and boundaries, total surface area in km2, number of inhabitants, slum
conditions, etc.
Demography and
migration
number of migrant population and demographics, areas of highest migration pressure, main
migrant neighbourhoods, main origin, etc.
Methods for Data Gathering
Desk Research Collect information from existing studies and/or government/institutions.
Observations/
Reconnaissance
surveys
The technical team walks around the neighbourhood or specific areas and identifies
on-the-ground features or elements that are relevant for the analysis and notes them down on
a base map.
Exploratory walks Experience the neighbourhood through the eyes of daily users by walking and exploring it
together.
Surveys (digital or in
person)
Get statistical information from and by the community about their perception and opinion of
the neighbourhood.
Interviews Gather data about specific aspects of the neighbourhood that require specific expertise or
knowledge from relevant stakeholders.
Focus group
discussion
Gather people’s opinions and ideas on how they perceive their neighbourhood and
collaboratively map challenges and opportunities.

302. T38 Detailed Data Gathering and Analysis
Data Needed and Research Methods
Layers of data that need to be collected Research method
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3. Compile a series of detailed maps that consolidate the data and analysis at the neighbourhood scale.

303. T38 Detailed Data Gathering and Analysis
Data Needed and Research Methods
Layers of data that need to be collected Research method
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3. Compile a series of detailed maps that consolidate the data and analysis at the neighbourhood scale.
T39 Neighbourhood Planning Workshop Guide
Description This tool guides the Neighbourhood Planning Workshop, in which a conceptual scheme for the
neighbourhood is developed by the community.
Participants This workshop is carried out by the technical team and relevant stakeholders regarding the
selected neighbourhood. (See the Workshop Checklist (T7) tool for more details).
Materials
Maps:
● Analysis maps of the neighbourhood, produced in
the detailed data gathering and analysis activity.
● Printed base map(s) and aerial image(s) of the
neighbourhood.
Drawing & sketching tools:
● Rolls of tracing paper of sufficient size to sketch
on top of the maps.
● Thick drawing markers of different colours (black,
green, blue, red, yellow, brown, orange, etc.).
● Black fine liners and pencils.
Step 1. Neighbourhood Goals and Targets
1. In plenary, the technical team shares a presentation that includes:
a) The neighbourhood boundary and the stakeholder mapping exercise for the neighbourhood scale.
b) The spatial maps produced in the detailed data gathering and analysis activity, highlighting the
challenges and opportunities, for example, the identified climate risk hotspots, informal settlements or
critical infrastructure.
c) The city's vision, targets, and goals.
2. Participants provide feedback, comments, and questions in a facilitated discussion. The comments should
be documented by someone in the technical team to later incorporate them to the maps and documents.
3. Divide participants into smaller groups. Each group has a facilitated discussion to select the goals and
targets (defined in the city's Strategic Development Plan (Block E)) that are relevant to the neighbourhood
and should be included in the Neighbourhood Plan.
Tip: Groups can be divided
according to different thematic areas and can discuss and choose from the goals and
targets corresponding to that specific topic (e.g. adequate housing and urban services, mobility and accessibility,
climate change and resiliency, social cohesion and participation, etc.). The selection must consider relevance to the
specific context and neighbourhood, level of priority, and expected implementation period (short - medium - long term).
Step 2. Neighbourhood Conceptual Design
1. In the smaller groups, collaboratively discuss and draw on top of a base map which are the main streets
(paths) and current urban structure.
Tip: Use different colours to represent the hierarchy and types of paths (main, secondary, local). Place a piece of
tracing paper on top of the printed base map to better visualise the drawings.

304. T39 Neighbourhood Planning Workshop Guide
2. Discuss what are the participants' local needs and desires regarding their neighbourhood: what would they
want to add and/or change? Draw these elements, specific actions and/or interventions on the
neighbourhood map, using the following list as a guide.
Urban Elements and Interventions for Neighbourhood Design
Basic services Access to water, sewage, electricity, internet, etc.
Public services Healthcare, educational, childcare, cultural, sports facilities, etc.
Urban equipment and
community spaces
Markets, urban farms, community centres, banks, bars and restaurants, shops, etc.
Open public spaces Natural spaces, recreational spaces, parks, etc.
Improvement of existing spaces (shading, urban furniture, vegetation, etc.),
Transportation and mobility
infrastructure
New roads, streets, bike lanes, pedestrian crossings, signage, public transit stops
and routes, parking spaces, etc.
Tip: Print icons that represent the different urban elements on small pieces of paper (scaled to the base map). This will
make it easier for participants to move them around on the map and discuss their location before defining the
conceptual neighbourhood design. Use different colours to represent different types of urban elements.
In the discussion, take note of the specific elements participants propose: not all elements need to be new projects,
some could be specific interventions that contribute to better urban design.
3. Each group consolidates a conceptual neighbourhood design and shares the results and main
characteristics with the rest of participants. Then, there is a facilitated
discussion in plenary to identify
patterns and coincidences across all groups. This information will be later synthesised by the technical
team in order to include it in the neighbourhood plan design.

305. T39 Neighbourhood Planning Workshop Guide
2. Discuss what are the participants' local needs and desires regarding their neighbourhood: what would they
want to add and/or change? Draw these elements, specific actions and/or interventions on the
neighbourhood map, using the following list as a guide.
Urban Elements and Interventions for Neighbourhood Design
Basic services Access to water, sewage, electricity, internet, etc.
Public services Healthcare, educational, childcare, cultural, sports facilities, etc.
Urban equipment and
community spaces
Markets, urban farms, community centres, banks, bars and restaurants, shops, etc.
Open public spaces Natural spaces, recreational spaces, parks, etc.
Improvement of existing spaces (shading, urban furniture, vegetation, etc.),
Transportation and mobility
infrastructure
New roads, streets, bike lanes, pedestrian crossings, signage, public transit stops
and routes, parking spaces, etc.
Tip: Print icons that represent the different urban elements on small pieces of paper (scaled to the base map). This will
make it easier for participants to move them around on the map and discuss their location before defining the
conceptual neighbourhood design. Use different colours to represent different types of urban elements.
In the discussion, take note of the specific elements participants propose: not all elements need to be new projects,
some could be specific interventions that contribute to better urban design.
3. Each group consolidates a conceptual neighbourhood design and shares the results and main
characteristics with the rest of participants. Then, there is a facilitated discussion in plenary to identify
patterns and coincidences across all groups. This information will be later synthesised by the technical
team in order to include it in the neighbourhood plan design.
T40 Preliminary Estimation of Costs Template
Description This tool provides a template to calculate and estimate the costs based on the interventions
foreseen by the Neighbourhood Plan.
Participants This activity is carried out by the technical team.
Link Digital Tool spreadsheet
Instructions
1. Indicate the available initial budget (T4 Financial Assessment Guide).
2. List the projects and interventions included in the Neighbourhood Plan.
3. For each project and intervention, indicate the quantity and its unit of measurement based on information
obtainable from the plan. Note: at this stage, measurements do not have to be precise and definitive, but
ought to be realistic.
4. The price per unit is based on the local average prices.
5. Finally, calculate the total cost and the budget gap.
List of projects and interventions Unit Quantity Price per unit Partial cost
Example: New Viability
Example: Public lighting
Available budget
Total 0
Budget Gap
Tip: Researching similar interventions can help during the elaboration of this preliminary estimation of costs.

306. T41 Citizen engagement guide
Descriptio n
This tool aims to provide guidelines to carry out participatory activities of the content developed by the
technical team and as a result achieve citizen engagement and empowerment.
Participant s
Those activities related to citizen engagement will be led by the technical team for a general audience and all
the different stakeholders and urban actors within the city.
Considerations:
● It is important to emphasize that within the planning regulatory frameworks of each country there may be an
official procedure to formally initiate the participatory planning and participatory consultation processes,
which should be reviewed.
● The components do not necessarily have to be performed in a linear fashion; they can be performed in
parallel at the same time.
● More than thinking about the quantity of participants, we should think about the quality of participation,
including the representation of different groups such as minorities, vulnerable and marginalized groups, that
is being achieved.
● Instead of waiting for citizens to come forward, city leaders should go to citizens to receive more diverse
input. Move public hearings directly to sites that will be subject to the Strategic Development Plan and are
spaces of relevance to the community (Community Center, School, Park, Plaza, etc.).
● Convene open forums on a regular basis, provide sign language translators, be flexible and open to address
agendas with unique and specific neighborhood/public issues rather than standardized city agency priorities.
This can help ensure constructive input from diverse groups.
● Feedback from the community should not be limited to a traditional verbal format. They can be received
through drawings, notes or letters.
● While all activities are important, their use will depend on the type of plan and the information to be validated.
Particularly in the engagement phase.
● The success of this process is its repetition and the involvement of diverse citizens during the process.
T41 Citizen engagement guide
1. Review and understand the different formats for socialization, consultation and involvement, using the following catalog.
Catalog of Strategies for Citizen Engagement
Strategy Definition Examples
Socialize
Exhibits
People need to know what an issue is about in order to
decide whether they want to participate. One way to inform
and encourage people to participate is to set up displays in
public places, such as a shopping mall or street fairs.
Examples of social displays can be found in the
Neighborhood Index .
Museum of Us- Old Kent Road
News
Press releases, radio or television stations are ways to get
citizens interested in the project. Virtual platforms can have
newsletters, and are an effective way to maintain interest
during a prolonged decision-making process. An example
of this type of platform is "Quito Decide", a virtual space
that allows citizens to share ideas, vote for municipal
initiatives and learn about the mechanisms available to
actively participate in the administration of the capital.
Quito Decides Platform
Guided Tours
Another approach to facilitate user awareness of
environmental situations, particularly when people have
adapted to intolerable conditions, is a planned walk or tour
of the project area. This walk allows participants to
rediscover a familiar situation or familiarize the participant
with a new situation. This approach could include a map or
plan that designates specific stops to record impressions
and a list of specific tasks.
Open House NY Jane Walks
Activations
These are demonstrative events, either in public or private
spaces, where the experience and intentions that the plan
seeks to achieve in a neighborhood, area or city are
replicated. It is a way to socialize the plan through action. It
is done through light, low-cost and quick implementation
interventions to explore alternatives for neighborhood
improvement.
Shared Street, Danli Honduras Districts of Opportunity, Guatemala City
Consult
Questionnaires /
Surveys
It is important that the information and data that helps to
justify the plans is not only quantitative, but also qualitative.
For this, cities must be able to design these instruments
with a focus on the user experience. Particularly if they are
neighborhood scale plans. These surveys can be placed on
the platform or at the end of any of the socialization
activities. Consider creative and artistic formats.
Public Life Tools
H7-Workshop checklist
Group
Interviews
Many times the traditional interview model can be
intimidating. Rather, the team should consider traditional
encounters across cultures, often a common denominator
and unifier is a meal. The Gran Malón is an exercise where
neighbors are invited to a meal and can comfortably
discuss their opinions and ideas regarding the plan.
Gran Malón
Workshops/Wor
k sessions
As with all consultation activities, the ages of those who will
participate in the workshops should be considered. There
Place It! H7-Workshop Checklist

307. T41 Citizen engagement guide
Descriptio n
This tool aims to provide guidelines to carry out participatory activities of the content developed by the
technical team and as a result achieve citizen engagement and empowerment.
Participant s
Those activities related to citizen engagement will be led by the technical team for a general audience and all
the different stakeholders and urban actors within the city.
Considerations:
● It is important to emphasize that within the planning regulatory frameworks of each country there may be an
official procedure to formally initiate the participatory planning and participatory consultation processes,
which should be reviewed.
● The components do not necessarily have to be performed in a linear fashion; they can be performed in
parallel at the same time.
● More than thinking about the quantity of participants, we should think about the quality of participation,
including the representation of different groups such as minorities, vulnerable and marginalized groups, that
is being achieved.
● Instead of waiting for citizens to come forward, city leaders should go to citizens to receive more diverse
input. Move public hearings directly to sites that will be subject to the Strategic Development Plan and are
spaces of relevance to the community (Community Center, School, Park, Plaza, etc.).
● Convene open forums on a regular basis, provide sign language translators, be flexible and open to address
agendas with unique and specific neighborhood/public issues rather than standardized city agency priorities.
This can help ensure constructive input from diverse groups.
● Feedback from the community should not be limited to a traditional verbal format. They can be received
through drawings, notes or letters.
● While all activities are important, their use will depend on the type of plan and the information to be validated.
Particularly in the engagement phase.
● The success of this process is its repetition and the involvement of diverse citizens during the process.
T41 Citizen engagement guide
1. Review and understand the different formats for socialization, consultation and involvement, using the
following catalog.
Catalog of Strategies for Citizen Engagement
Strategy Definition Examples
Socialize
Exhibits
People need to know what an issue is about in order to
decide whether they want to participate. One way to inform
and encourage people to participate is to set up displays in
public places, such as a shopping mall or street fairs.
Examples of social displays can be found in the
Neighborhood Index .
Museum of Us- Old
Kent Road
News
Press releases, radio or television stations are ways to get
citizens interested in the project. Virtual platforms can have
newsletters, and are an effective way to maintain interest
during a prolonged decision-making process. An example
of this type of platform is "Quito Decide", a virtual space
that allows citizens to share ideas, vote for municipal
initiatives and learn about the mechanisms available to
actively participate in the administration of the capital. Quito Decides Platform
Guided Tours
Another approach to facilitate user awareness of
environmental situations, particularly when people have
adapted to intolerable conditions, is a planned walk or tour
of the project area. This walk allows participants to
rediscover a familiar situation or familiarize the participant
with a new situation. This approach could include a map or
plan that designates specific stops to record impressions
and a list of specific tasks.
Open House NY
Jane Walks
Activations
These are demonstrative events, either in public or private
spaces, where the experience and intentions that the plan
seeks to achieve in a neighborhood, area or city are
replicated. It is a way to socialize the plan through action. It
is done through light, low-cost and quick implementation
interventions to explore alternatives for neighborhood
improvement.
Shared Street, Danli
Honduras
Districts of Opportunity,
Guatemala City
Consult
Questionnaires /
Surveys
It is important that the information and data that helps to
justify the plans is not only quantitative, but also qualitative.
For this, cities must be able to design these instruments
with a focus on the user experience. Particularly if they are
neighborhood scale plans. These surveys can be placed on
the platform or at the end of any of the socialization
activities. Consider creative and artistic formats.
Public Life Tools
H7-Workshop checklist
Group
Interviews
Many times the traditional interview model can be
intimidating. Rather, the team should consider traditional
encounters across cultures, often a common denominator
and unifier is a meal. The Gran Malón is an exercise where
neighbors are invited to a meal and can comfortably
discuss their opinions and ideas regarding the plan.
Gran Malón
Workshops/Wor
k sessions
As with all consultation activities, the ages of those who will
participate in the workshops should be considered. There Place It!
H7-Workshop Checklist

308. T41 Citizen engagement guide
are workshops that can be for all ages such as the work of
James Rojas who through the use of everyday objects
gives people the opportunity to build ideal neighborhood
cities.
Drawing or
mapping inputs
The use of visual and non-writing methods of collecting
inputs is a highly efficient and good strategy that is
particularly suited for work with children and young people
across a variety of cultural contexts.
Participatory Drawing –
Berkeley Art Center
Involve
Ideation
Co-create solutions with your community members by
giving them a platform for new ideas.
Quito Decides Platform
Yo Alcalde Platform Participatory
Budgeting
Let your community members allocate a budget using our
tool to get feedback on what they think you should invest.
Citizen Proposal
It allows community members to suggest projects on any
topic and gather support.
2. Once you have reviewed the catalog, identify those activities that you consider appropriate to achieve
citizen engagement of the plan to be presented and validated. To do so, fill out the following data sheet.
1. ACTIVITY Living the City Exhibit
Tip: Repeat the following table for each process activity
Objective: To present the proposal for the planning of Guatemala
City for 2050. Which will introduce the 7 opportunity districts of the
city.
Target 1000 visitors in a 12-month period.
Audience: Developers, neighbors, professional associations, university students, municipal employees, mayors and technical teams
of the department of Guatemala, embassies, central government.
Time: This exhibition will take place over the course of 12 months.
Each month the exhibit is proposed to be in 12 different locations.
Venue: Designed in modular structures for easy
mobilization. It is expected to be placed in universities,
museums, relevant spaces in the 6 districts of opportunity,
municipalities, architecture biennial, forums, and other
places.
Activity description
The exhibition is structured in four parts:
1. History of the City and its historical evolution over the last 200 years
2. The detonating projects of the city (housing plan, mobility plan)
3. The 7 Districts of Opportunity
4. Consultation component* (how do you live your city, where do you live, study and recreate)
Those who visit the exhibition will also receive a notebook and printed material with summarized information about the districts of
opportunity
*A separate file will be created for the consultation component.
Fill in the following information according to the selected audience, type and schedule
T41 Citizen engagement guide
Participants
List who should be invited to participate (names of institutions). Tip: When
thinking about the general public, consider key population groups.
1. Developers
2. Residents of the districts
3. Professional Guild
4. University students
5. Municipal employees
6. Mayors and technical team of the department of Guatemala
7. Embassies
8. Central Government
Materials needed
List all the materials needed for the activity. Hint: think about the
materials that need to be developed (ppt, handouts, etc.) and those
that need to be procured (stationery). Refer to H7 Workshop
Checklist for reference.
1. TV
Tablets
3. Printed panels
4. Brochure
5. Stickers
6. Notebook
7. Post-its
8. Sound equipment
Vulnerable Groups
A particular attention should be given to minority, marginalized and vulnerable peoples that have been identified iIn specific cities and target areas,
they should be consulted and their interests or concerns taken into account. List who are the vulnerable groups that need to be involved in the
process and may need a different approach
1. Indigenous people
2. Migrants
3. IDPs

309. T41 Citizen engagement guide
Participants
List who should be invited to participate (names of institutions). Tip: When
thinking about the general public, consider key population groups.
1. Developers
2. Residents of the districts
3. Professional Guild
4. University students
5. Municipal employees
6. Mayors and technical team of the department of Guatemala
7. Embassies
8. Central Government
Materials needed List all the materials needed for the activity. Hint: think about the
materials that need to be developed (ppt, handouts, etc.) and those
that need to be procured (stationery). Refer to H7 Workshop
Checklist for reference.
1. TV
Tablets
3. Printed panels
4. Brochure
5. Stickers
6. Notebook
7. Post-its
8. Sound equipment
Vulnerable Groups
A particular attention should be given to minority, marginalized and vulnerable peoples that have been identified iIn specific cities and target areas,
they should be consulted and their interests or concerns taken into account. List who are the vulnerable groups that need to be involved in the
process and may need a different approach
1. Indigenous people
2. Migrants
3. IDPs

310. T42 Strategy Framework Guide
Description
This tool guides the structure to develop the framework for the strategies, lines of action, targets and
actions linked to the goals of the plan that are set in the vision.
Participants
This activity is carried out by the technical team and must be validated by the advisory committee, the
steering committee and other key stakeholders.
Instructions
The previous diagram represents the proposed structure of the framework that comprises the Vision, Goals,
Strategies and Initiatives.
1. Review the results and inputs gathered from the Strategic Visioning Workshop (Activity 17) and
Spatialisation of the Strategic Vision (Activity 19) .
2. Review and adjust the goals of the plan. They can be aligned to relevant themes from the diagnosis and
other current documents and agendas.
Examples from Ciudad Juarez City Vision :

311. T42 Strategy Framework Guide
Description
This tool guides the structure to develop the framework for the strategies, lines of action, targets and
actions linked to the goals of the plan that are set in the vision.
Participants
This activity is carried out by the technical team and must be validated by the advisory committee, the
steering committee and other key stakeholders.
Instructions
The previous diagram represents the proposed structure of the framework that comprises the Vision, Goals,
Strategies and Initiatives.
1. Review the results and inputs gathered from the Strategic Visioning Workshop (Activity 17) and
Spatialisation of the Strategic Vision (Activity 19) .
2. Review and adjust the goals of the plan. They can be aligned to relevant themes from the diagnosis and
other current documents and agendas.
Examples from Ciudad Juarez City Vision :
T42 Strategy Framework Guide
3. Develop strategies for each of the goals. Strategies should be guidelines from which the goals are achieved.
Tip: Strategies can be organised according to each goal, but it is recommended to consider the following sectoral
dimensions: socio-cultural, environmental, urban-rural, economic and political-institutional as well as the 6Ps from the
2030 Agenda: People, Planet, Partnerships, Prosperity, Peace, Planning. Strategies should be comprehensive and
respond to the challenges and needs identified, as well as be congruent with the municipality's capacity to act.
4. Define a series of initiatives with a narrower scope and purpose for each of the strategies. These may have
different characteristics: plans, programs, projects - e.g. updating or changing the regulatory framework,
establishing management instruments, developing linked programmes or specific strategic projects, etc.
During Phase 3, a clear target will be identified for each of the initiatives, as well as if they are ongoing of
planned activities, what are the linked initiatives, responsibilities, etc. According to the scope needed,
capacities, time, etc., more specific actions could be detailed within each initiative.

Tip: To determine the initiatives, review the inputs and outputs from previous participatory activities, where ideas were
gathered on possible actions, projects and interventions to achieve the stated vision.
5. Consolidate the framework of vision, goals, strategies and initiatives according to structure presented in the
beginning of the tool.

312. T42 Strategy Framework Guide
Example Ciudad Juarez City Vision:

313. T42 Strategy Framework Guide
Example Ciudad Juarez City Vision:
T42 Strategy Framework Guide
Example Master Plan for the Nichupté Bridge, Cancún, Mexico, which includes a similar structure, including
the targets:
Goal: Prosperous and diversified city
Strategy 1 Transforming the Nichupté Bridge's polygon of action, as well as its area of
influence, into a new centrality for Cancún.
Sub-strategy Target Initiatives
a) Encourage the
construction of new
housing, complementing
existing commercial,
services and urban
equipment.
By 2040, an appropriate
balance of land uses in the
action polygon will be
achieved through the
construction of 2,500
housing units on currently
vacant or underutilised
land.
I) Establish and operate regulatory mechanisms
to increase housing density in the area.
II) Introduce fiscal schemes for vacant land, such as progressive property tax rates and fees for vacant land.
III) Reduce parking requirements to make architectural projects more flexible and produce lower-cost buildings.
b) Promote the
neighbourhood scale in
the polygon of action by
encouraging mixed uses
through the provision of
active ground floors in
buildings and adequate
pedestrian infrastructure.
By 2040, at least 75% of
built developments will
have active ground floors
for retail, services or
facilities. I) Develop urban standards/guidelines that
favour the integration of the public and private
spheres, in particular by regulating parking
arrangements.
II) Encourage small retail outlets to boost local
commercial uses.
III) Promote pedestrian permeability through large
blocks.

314. T43 Facilities and Public space Projections (Step 1)
Instructions:
The development plan is for the year:
YearTotal population (inhab) Surface area (km²)
Average Density
(inhab/km²)
3. POPULATION GROWTH
Average annual population growth rate (%):
YearTotal population (inhab)
1.23%
Summary: Urban Expansion Projections
Projections for the year:
Demographic GrowthUrban Expansion (km²)
25,939,666
CONTINUE TO THE TAB "PUBLIC SPACE CALCULATION".
Current situation (or data from the last census):
Population Growth Calculation
2,691.45
1,749.45
1,166.30
Copy the data from H24. Urban Expansion Projections into this t able.
Use this template to calculate urban expansion projections.
Use a comma (,) for thousands and a period (.) for decimals.
The percentages are already con figured, insert numbers only (e.g. for 2%, insert 2).
Indicate in cell (E10) with the year for which the Plan is bein g developed.
Indicate in cells (B16, C16 and D16) the data of the current year or of the last census of your city (or territory for which you wish to calculate the urban expansion) and the territorial extension of the same.
If you do not have the annual population growth rate, calculate it using the table below. First, fill in the orange cells. Once you have the final result (D25), include it in cell (E20).
Rellena las celdas naranjas de abajo con la población de 2 años diferentes.
Indicate in cell (E20) the average annual population growth rate of your city (or territory for which you wish to calculate urban expansion). If 1. TIME FRAME OF THE DEVELOPMENT PLAN
2. POPULATION DENSITY
3.1 POPULATION GROWTH CALCULATION
2030
8,445,211
5.00%
20078,445,211
20179,485,405
2007
228.00
Average annual population
growth rate (%):
Difference in yearsPopulation Growth
Ratio (%)Total population (inhab) Population growth (inhab)
Low density Average density High density
6,50010,00015,000
5.00%17,494,455
37,040
10
1,040,194
Note1: For this analysis, the difference in years between year 1 and year 2 should not exceed 10 years.
Example: Comparing data between 2020 and 2009 (11 years difference) could mislead the analysis.
Note2: Prioritize data from recent years. Data should not be older than 15 years.
Example: For a 2020 Development Plan, data from 2000 and 2008 will not be adequate (20 years of comparison). For a 2020 Development Plan, 2019 and 2018 data will be ideal.
Note1: Another index (%) can be used if necessary, taking into account the context.
Note2: High-density urban sprawl planning is normally recommended. However, the local context and culture must be taken into account.
Como referencia, consulte los principios de plani ficación de ONU-Hábitat:
Note: This information can usually be found through literature review. If it is not available, calculate it by filling in the orange cells in the table below.
Year 1
Year 2
2030
A new strategy of Sustainable Neighbourhood Planning: Five Prin ciples

315. T44 Pre-feasibility study template
Descriptio n This template will serve as the basis for the pre-feasibility study.
The pre-feasibility study is a activity to present an assessment of the proposed project and its intervention in terms of technical design, cost and bene fits,
institutional and financial aspects, social and environmental impacts, legal and regulatory frameworks in which the proposed intervention are expected to be
implemented and any other analysis that may impact on the feasi bility of the investment.
Participants
This task is carried out by the technical team.
A proposed content and structure of a pre-feasibility study is detailed below:
Pre-feasibility study Structure
1. Background and scope of the project Scope of the study and background overview
2. Context Overview Baseline assessment and situation based on the Analysis and Dia gnostic
3. Preliminary technical study Technical and design assessment
Environmental, economic and social assessments
Approximate financial costs; Financing options/ Economic and/or financial viability
Legal and regulatory framework
Institution and stakeholders analysis
Social and environmental impacts
Risk assessment
Strategy and sustainability
4. Speci fic information about the project
and its implementation strategy
Theory of change
Project objective, logic of action and components.
Timeline of the implementation

316. T44 Pre-feasibility study template
5. Implementation arrangements Stakeholders analysis and implementation arrangements
Capacity assessment and due diligence on the executing entities
Use the template below to edit it according to the requirements of each project.
PRE-FEASIBILITY STUDY SHEET
Project Name
1. Background
and scope of the project
Describe the scope of the project and case description Background overview (Location, problem statement, objective of the project, etc)
2. Context Overview
Baseline assessment and current situation analysis
3. Pre-feasibilitA
ssessment
Technical and design assessment:

317. T44 Pre-feasibility study template
How will the project be implemented?
Environmental, economic and social assessments: Environmental: Economic: Social: Approximate financial costs: Financing options : List the different institutions that potentially have funds to implement this project: Economic and/or financial viability Check the box corresponding to approximate cost ⬚
less than $1 million
⬚
more than $1 million
⬚
less than $10 million
Financing options List the institution and different sources to fund this project

318. T44 Pre-feasibility study template
Legal and regulatory framework:
List the national, regional and municipal strategies, programmes, and relevance instruments to this project.
Institution and stakeholders analysis: List the di fferent institutions that can be part of the project development and its implementation Social and environmental impacts Risk assessment Strategy and sustainability
T44 Pre-feasibility study template
Speci fic information
about the project
and its
implementation
strategy
What does the
project involve?
Theory of change Project objective, logic of action and components. Timeline of the implementation Check the box corresponding to the time frame and indicate the timeframe in years or months for project completion. ⬚
SHORT
________ Years
⬚
MEDIUM
________ Years
⬚
LONG
________ Years

319. T44 Pre-feasibility study template
Speci fic information
about the project
and its
implementation
strategy
What does the
project involve?
Theory of change Project objective, logic of action and components. Timeline of the implementation Check the box corresponding to the time frame and indicate the timeframe in years or months for project completion. ⬚
SHORT
________ Years
⬚
MEDIUM
________ Years
⬚
LONG
________ Years

320. T45 Participatory prioritisation guide
Descriptio n
This tool guides the participatory prioritization workshop, the results of which will be used to determine
the strategic projects portfolio.
Participants
This activity is carried out by the technical team together with the advisory and steering committee l, as
well as other actors responsible for implementing the projects.
Section 1. Prioritization of the list of projects
Instructions
1. In plenary, present the list of projects that resulted from Phase 2 Plan along with the information
gathered in Project Preparation (Activity 35) .
Tip: For this step, it is recommended to make a presentation, as well as to have printed handouts or panels with the
information of each project. This will serve as support material during the rest of the workshop activities.
2. Divide the participants into groups, according to the total number of people in the workshop. The idea is
to have a discussion where all the people participate actively, so it is recommended that the groups
have no more than 6 people. The groups should be diverse in their members, and should have
representatives from the different instances and groups.
3. Prepare a horizontal axis on a flip chart or a wall of the workshop space, where the left side is "lower
priority" and the right side is "higher priority". Each group should have this material. On colored sticky
notes, place the names of all the projects on the project list (1 per project).
4. In groups, place each of the projects
listed in the prioritization axis. To do this, members should discuss
each project in terms of its contribution, benefits and alignment with the plan's objectives and
strategies. The exercise encourages the projects to be compared with each other to visually identify
those that are the highest priority. A reference image is shown below:
T45 Participatory prioritisation guide
Tip: An alternative for this exercise is to create a 2x2 matrix, with a horizontal axis and a vertical axis. The horizontal axis
can correspond to impact (left: lower impact; right: higher impact) and the vertical axis to feasibility (bottom: lower
feasibility; top: higher feasibility). The groups have to place the projects using this matrix. Finally, the projects in the
upper right quadrant (highest impact and highest feasibility) will be the prioritized projects.
5. Each group presents its results in plenary, explaining why each project has the location proposed in the
prioritization axis. A discussion should be facilitated and, if possible, a consensus should be reached on
the priority order of the list of projects. The technical team should take notes for subsequent systematization and use these inputs in the final
technical prioritization of the strategic projects. Ideally, during the discussion, one of the templates can
be used as a basis for capturing the results agreed upon by all participants.

321. T45 Participatory prioritisation guide
Descriptio n
This tool guides the participatory prioritization workshop, the results of which will be used to determine
the strategic projects portfolio.
Participants
This activity is carried out by the technical team together with the advisory and steering committee l, as
well as other actors responsible for implementing the projects.
Section 1. Prioritization of the list of projects
Instructions
1. In plenary, present the list of projects that resulted from Phase 2 Plan along with the information
gathered in Project Preparation (Activity 35) .
Tip: For this step, it is recommended to make a presentation, as well as to have printed handouts or panels with the
information of each project. This will serve as support material during the rest of the workshop activities.
2. Divide the participants into groups, according to the total number of people in the workshop. The idea is
to have a discussion where all the people participate actively, so it is recommended that the groups
have no more than 6 people. The groups should be diverse in their members, and should have
representatives from the different instances and groups.
3. Prepare a horizontal axis on a flip chart or a wall of the workshop space, where the left side is "lower
priority" and the right side is "higher priority". Each group should have this material. On colored sticky
notes, place the names of all the projects on the project list (1 per project).
4. In groups, place each of the projects listed in the prioritization axis. To do this, members should discuss
each project in terms of its contribution, benefits and alignment with the plan's objectives and
strategies. The exercise encourages the projects to be compared with each other to visually identify
those that are the highest priority. A reference image is shown below:
T45 Participatory prioritisation guide
Tip: An alternative for this exercise is to create a 2x2 matrix, with a horizontal axis and a vertical axis. The horizontal axis
can correspond to impact (left: lower impact; right: higher impact) and the vertical axis to feasibility (bottom: lower
feasibility; top: higher feasibility). The groups have to place the projects using this matrix. Finally, the projects in the
upper right quadrant (highest impact and highest feasibility) will be the prioritized projects.
5. Each group presents its results in plenary, explaining why each project has the location proposed in the
prioritization axis. A discussion should be facilitated and, if possible, a consensus should be reached on
the priority order of the list of projects.
The technical team should take notes for subsequent systematization and use these inputs in the final
technical prioritization of the strategic projects. Ideally, during the discussion, one of the templates can
be used as a basis for capturing the results agreed upon by all participants.

322. T45 Participatory prioritisation guide
Section 2. Identification of linked initiatives and co-responsibilities
Instructions:
6. Based on the discussions and results of the previous exercise, participants map those initiatives,
programs and/or projects that currently exist and are in some way linked to the projects on the list.
These may come from the public sector, private sector, academia and/or civil society. For example, if a
project deals with the reconfiguration of road geometries, safe intersections and redistribution of road
space, and tactical urbanism interventions are currently being implemented in the municipality by some
instance or agency, it should be taken into account to collaborate, create synergies and share learning
and resources. This will also help to identify potential implementation partners.
7. The workshop participants then discuss, propose and assign which agencies will be in charge of the
implementation of each project. To this end, a main responsible instance should be established, and if
applicable, other co-responsible instance(s) that will collaborate in the execution of the project.
Tip: For this and the previous exercise, the template used in Section 1 can be used as a basis. Using sticky notes of
different colors, the linked initiatives, the responsible body and the co-responsible party(ies) can be added.)
A second option is to generate a new matrix, where in the columns you have: 1. List of projects, 2. An example is
shown below.
8. Finally, the technical team systematizes all the information and shares it with the workshop participants
and other key stakeholders for validation, as this information will be used for the technical prioritization
of projects and the creation of the strategic project portfolio (prioritized projects).

323. T45 Participatory prioritisation guide
Section 2. Identification of linked initiatives and co-responsibilities
Instructions:
6. Based on the discussions and results of the previous exercise, participants map those initiatives,
programs and/or projects that currently exist and are in some way linked to the projects on the list.
These may come from the public sector, private sector, academia and/or civil society. For example, if a
project deals with the reconfiguration of road geometries, safe intersections and redistribution of road
space, and tactical urbanism interventions are currently being implemented in the municipality by some
instance or agency, it should be taken into account to collaborate, create synergies and share learning
and resources. This will also help to identify potential implementation partners.
7. The workshop participants then discuss, propose and assign which agencies will be in charge of the
implementation of each project. To this end, a main responsible instance should be established, and if
applicable, other co-responsible instance(s) that will collaborate in the execution of the project.
Tip: For this and the previous exercise, the template used in Section 1 can be used as a basis. Using sticky notes of
different colors, the linked initiatives, the responsible body and the co-responsible party(ies) can be added.)
A second option is to generate a new matrix, where in the columns you have: 1. List of projects, 2. An example is
shown below.
8. Finally, the technical team systematizes all the information and shares it with the workshop participants
and other key stakeholders for validation, as this information will be used for the technical prioritization
of projects and the creation of the strategic project portfolio (prioritized projects).
T46 Project prioritization template
Description
This tool provides a rational criterion for prioritizing the Strategic Development Plan projects and
identifying the most urgent projects to develop.
Participants
This activity is carried out by the technical team.
Instructions
1. Use the template at the end of this tool to include the projects included in the project list, which
resulted from Block E Strategic Development Plan .
2. Review the proposed criteria and the numerical scale for each, included below. It is possible that,
depending on the context, some may be removed, modified or added. The numerical values
assigned are general, so it is recommended that you specify what each one corresponds to. Some
examples are included below to illustrate this.
3. For each project in the list, make an evaluation for each criterion, assigning a score in the
corresponding column. Use the following guiding questions to guide the discussion and definition
of the score.
a. How does this project improve the quality of life of the city's
inhabitants? What are the benefits that
this project could bring to society, the economy and the environment?
b. What is the environmental footprint of the project, would it reduce carbon emissions, and would it
improve the resilience of the city and the region?
c. What objectives of the plan are addressed? To what extent could each project meet the objectives?
Does the project respond to the most urgent challenges identified in the diagnosis? Does the
project respond to an urgent situation that requires quick responses?
d. Is the project accepted and required by the community and strategic stakeholders? What level of
citizen involvement would the project have?
e. What is the cost of implementing the project and does it impact the municipality's existing budget?
Are there mechanisms in place for its implementation?
f. Are there stakeholders willing to finance this project? Are there regional, national or international
funds for this type of project?
g. How long would it take to implement the project and could it be completed within the current
municipal term? If not, could it be completed by the next government?
h. Overall, is this project easy to achieve and with a high positive impact?
i. Is this project also considered a national or regional priority?

324. T46 Project prioritization template
Criteria for the evaluation of the project list
Linked goals
List the
objectives to
which the project
responds.
Strategies / lines of action
linked to
List the strategies
and/or lines of
action that the
project addresses.
Economic, social and
environmental benefits/impact
*Consider the impact of the project in its
different dimensions and/or how many
benefits it brings. Yo u can also make a matrix
with a list of benefits and evaluate the extent
to which each project addresses each of
them.
Very high (5)
High (4)
Medium (3)
Low (2)
Very low (1)
Acceptance by stakeholders /
participatory prioritization
*Obtained from the Prioritization Workshop
Very high (5)
High (4)
Average (3)
Low (2)
Very low (1)
Financial viability
*Consider the information and results of
project preparation.
Very low (5)
Low (4)
Medium (3)
High (2)
Very high (1)
Institutional costs
*Consider the need (or not) for
administrative/management,
legal/regulatory,
intergovernmental/inter-agency
coordination, etc. changes.
Very low (5)
Low (4)
Medium (3)
High (2)
Very high (1)
Implementation times
Short term (5)
Medium term (3)
Long term (1)
Technical feasibility
*Consider the information and results of
project preparation.
Very high (5)
High (4)
Average (3)
Low (2)
Very low (1)
Some additional criteria that may be considered:
● Priority area
● Urgency (1 = not urgent; 2 = urgent; 3 = very urgent)
● Integration potential (1 = low; 2 = medium; 3 = high)

325. T46 Project prioritization template
Examples of numerical scale assigned to prioritization criteria:
San Nicolas de los Garza
In this case, a different methodology was used where
costs were subtracted from benefits, so that a high
financial and institutional cost had a higher value. Thus, a
project with many benefits but high costs is equated with
one with few benefits but low costs.
Methodological Guide for the Operationalization
of Urban Projects, Cuba

326. T46 Project prioritization template Template for prioritization of the project list
Add rows as necessary according to the project listing and edit the columns accordingly. The benefits/impact column could be separated to evaluate the different types of
bene fits. Some examples of projects are included below in red color.
Projects Linked Objectives
Linked strategies / lines of
action
Econ
omic,
socia
l and
envir
onme
ntal
benef
its/im
pact
Acce
ptanc
e by
stake
holde
rs
Finan
cial
viabili
ty
Instit
ution
al
costs
Imple
ment
ation
times
Tech
nical
feasi
bility
SCO
RING
RELA
TIVE
RAN
KING
1
Neighborhood Center
(Nichupté Bridge)
Objective 3: Proximity and Connected
City
Objective 5: Healthy and Friendly City
Take advantage of the available land to
create public facilities and public spaces
that facilitate the connection of the urban
fabric and bring the Nichupté Lagoon and
mangrove areas closer, respecting their
natural condition and enhancing their value.
4 4 4 4 4 4 24 1
2
Reforestation of urban
space
 Objective 1: Green and resilient city Encourage initiatives to mitigate
environmental impacts and enhance
the ecosystem services of green areas
and areas of environmental value
1 2 2 3 2 4 14 2
3
New flood protection
infrastructure
 Objective 1: Green and resilient city Strengthen people's resilience,
infrastructure and economic activity
to disasters caused by climatic phenomena.
2 3 1 2 2 2 12 3

327. T46 Project prioritization template
Urban resilience
For disaster risk response and climate adaptation issues, the first column of the prioritization template
(entitled "Projects") can be modified and used to assess and prioritize the strategic lines of action for city
resilience developed in the Strategy for Disaster Risk Management and Climate Resilience (Activity
21) . At a later stage, these actions should be reviewed in their entirety to ensure that there are no
environmental and social risks, especially those that may affect vulnerable people.
References:
Vulnerability and risk to climate change (5.3. Prioritization of actions)
4. Add the total score of each project and assign a relative ranking. Based on this, select and list the
priority strategic projects that make up the strategic project portfolio.
Example of project portfolio location map for San Nicolas de los Garza, Mexico, by category:
Portfolio of strategic projects and their linkage to the plan's objectives:

328. T46 Project prioritization template

329. T46 Project prioritization template T47 Template of strategic project sheets
Descriptio n
This tool details the categories of information recommended for the technical sheet of strategic projects and
includes a basic template.
Participants
This task is carried out by the technical team.
The recommended fields of information to be included in the project data sheets are described below, followed
by the project data sheet template. Use the template to edit it according to the requirements of each project.
Some examples are included at the end of the tool.
Components of the strategic projects fact sheet
Field Description
Project name Project title
Category
Category assigned, if any. It can be assigned according to the typology of the project.
Alignment with
goals and
strategies
Indicate to which goals and/or strategies of the strategic development plan the
project is linked. Ideally, the strategic projects in the portfolio should respond to
more than one objective.
Location Project location plan and interventions
Theory of
change and Specific objectives
The objectives in terms of technical, social, environmental and climate change, etc.
sought by the project are detailed and should be linked to the challenges to be solved. The objectives can be defined in the short and long term. They should be clear and measurable as they will be used to evaluate the project. ● Technical objectives: linked to the technical solution. For example, what total
area of public space will be regenerated? How many kilometers of transport
system coverage will be implemented? How many housing units will be
increased?
● Social objectives: linked to social challenges and needs. For example, how
much population will be benefited, how does the population/community benefit,
how many jobs are created, how many businesses are trained?
● Environmental and climate change objectives: For example, how many trees and
endemic species are reforested? How many tons of CO2 emissions are
reduced? How many square meters of green area per inhabitant are increased?
How is exposure to disaster risk reduced?
Activities,
Outcomes and
Outputs
● Activities: Actions taken or work performed through which inputs, such as
funds, technical assistance and other types of resources are mobilized to
produce specific outputs.
● Outputs: The product, capital goods and services which result from a
development intervention relevant to the achievement of outcomes.
● Outcomes: The change in conditions, or intended effects of an intervention,
usually brought about by the collective efforts of partners. Outcomes are
achieved in the short to medium term.
Beneficiaries Population that will directly and indirectly benefit from the project.

330. T47 Template of strategic project sheets
Project
description /
strategy
At this point, the project must be more focused and the technical solution and
project strategy for its implementation must be clear. To define it, it is necessary to evaluate the different options available and choose the one that best applies to the context, challenge, costs, etc. A section on the current status of the project or the area of intervention can also be included here.
Project components The components that the project addresses are described in greater detail, which should subsequently include a work plan and concrete activities.
Milestones,
Targets and Indicators
Milestones help with regular monitoring of progress towards the target. Targets
indicate the desired result at the end of the project. Indicators: What is going to be measured to assess if targets are met?
Conceptual
design / target image
If possible and applicable, include a conceptual design and/or objective image of
the project or physical intervention, indicating its intentions and main characteristics. This will inform the development of the technical file (architectural design, engineering, etc.).
Responsible
body and co-responsible parties
This information was determined at the Participatory Project Prioritization
Workshop. This section may also include more specific responsibilities, such as
design, implementation and maintenance.
Linkage with
existing
initiatives
This information was determined at the Participatory Project Prioritization Workshop.
Costs and financing
Costs necessary for the implementation of the project. The total cost should include
the investment cost (execution or construction of the project) and the operating cost (post-construction). The former should include all necessary items, such as land, materials, machinery, management, paperwork, licenses, human resources, etc. With the cost evaluation, the financing of the project should be evaluated, for example, if there is interest from the private sector, if there is the possibility of applying to an international fund, etc. It is recommended to review the Financial Instruments activity in Block I.
Cost Benefit Analysis
This is done to assess whether the project is indeed feasible and can be
implemented. It compares the costs and benefits or returns on investment, which should exceed the costs, taking into account the time horizon of both components. Normally, the benefits occur over a longer period of time than the project
investment.
Additional requirements
Identify the requirements or actions needed to implement the project. These may be
linked to more specific technical requirements (e.g., environmental impact studies), to management mechanisms (forming a committee, establishing an agreement, etc.), or to legal and regulatory requirements such as the change or approval of a law or the development of a rule or regulation, etc.). These will be identified more precisely in Block I of Instruments, so it is advisable to review them in parallel.

331. T47 Template of strategic project sheets
Project
description /
strategy
At this point, the project must be more focused and the technical solution and
project strategy for its implementation must be clear. To define it, it is necessary to
evaluate the different options available and choose the one that best applies to the
context, challenge, costs, etc. A section on the current status of the project or the
area of intervention can also be included here.
Project
components
The components that the project addresses are described in greater detail, which
should subsequently include a work plan and concrete activities.
Milestones,
Targets and
Indicators Milestones help with regular monitoring of progress towards the target. Targets
indicate the desired result at the end of the project.
Indicators: What is going to be measured to assess if targets are met?
Conceptual
design / target
image
If possible and applicable, include a conceptual design and/or objective image of
the project or physical intervention, indicating its intentions and main
characteristics. This will inform the development of the technical file (architectural
design, engineering, etc.).
Responsible
body and
co-responsible
parties
This information was determined at the Participatory Project Prioritization
Workshop. This section may also include more specific responsibilities, such as
design, implementation and maintenance.
Linkage with
existing
initiatives
This information was determined at the Participatory Project Prioritization
Workshop.
Costs and
financing
Costs necessary for the implementation of the project. The total cost should include
the investment cost (execution or construction of the project) and the operating cost
(post-construction). The former should include all necessary items, such as land,
materials, machinery, management, paperwork, licenses, human resources, etc.
With the cost evaluation, the financing of the project should be evaluated, for
example, if there is interest from the private sector, if there is the possibility of
applying to an international fund, etc. It is recommended to review the Financial
Instruments activity in Block I.
Cost Benefit
Analysis
This is done to assess whether the project is indeed feasible and can be
implemented. It compares the costs and benefits or returns on investment, which
should exceed the costs, taking into account the time horizon of both components.
Normally, the benefits occur over a longer period of time than the project
investment.
Additional
requirements
Identify the requirements or actions needed to implement the project. These may be
linked to more specific technical requirements (e.g., environmental impact studies),
to management mechanisms (forming a committee, establishing an agreement,
etc.), or to legal and regulatory requirements such as the change or approval of a
law or the development of a rule or regulation, etc.). These will be identified more
precisely in Block I of Instruments, so it is advisable to review them in parallel.
T47 Template of strategic project sheets Basic template of project sheet:
Project title:
Category
Location:
Alignment with objectives and strategies: Speci fic objectives: Description of the project / strategy:
Conceptual design / target image:
Areas of intervention: Costs and financing:
Project components:
Responsible body and co-responsible
parties:
Cost-bene fit analysis:
Linkage with existing initiatives:
Additional requirements:
Beneficiaries:

332. T47 Template of strategic project sheets Example of project fiche of the Master Plan for the Nichupté Bridge, Cancun, Mexico

333. T47 Template of strategic project sheets Example of a project sheet for San Nicolas de los Garza, Mexico

334. T48 Land Tenure Typologies Guide
Descriptio n
This tool will help the team to classify the land tenure for the properties that are within the delimitation of the
priority zones, as well as the zones where the land management plan projects will be implemented. Use the
typologies in Table below as a catalog.
Participants
This task is carried out by the technical team.
TABLE A. LAND TENURE TYPOLOGIES
Tenure
System
Typology Description
Formal
Public Property
Municipal
Properties destined for public use or service;
among them, it is worth mentioning roads,
streets, squares, promenades, waters, public
works of general service, markets,
commodities exchanges, etc.
State
State ownership or control of any asset,
industry, or enterprise at any level, national,
regional, or local
Cooperative
Properties that were granted by the state to
carry out agricultural or livestock activities .
Private Property Ownership in perpetuity
Conditional Property
Title is granted upon payment or when developments have
been completed.
Registered lease
Ownership for a specified period, from a few months to 999
years.
Public rental Rental occupancy of state-owned land or house
Private rental Rental occupancy of privately owned land or house
Shared equity
Combination of conditional ownership and rent in which
residents acquire a share in their property (often 50%) and pay rent for the remainder to the other party.
Cooperative holding
Ownership is vested in the cooperative or group of which the
residents are co-owners.
Customary ownership
Ownership is vested in the tribe, group, community or family.
Land is allocated by customary authorities such as chiefs.
Intermediate or temporary holding systems
There are many pragmatic provisions, such as land
certification, "comfort certificates", temporary occupancy licenses, etc.
Co-ownership / Condominium
regime
Co-ownership, also known as condominium or community,
refers to the form of ownership in which there is a single ownership, but this is divided into quotas among several owners. The practical effect is that two or more persons share the ownership of a thing. The co-ownership can come from the will of the co-owners, as for example the things that are contributed to a society or that are acquired in common.
Informal
Irregular occupation or
development of public land
Housing and settlements built on land belonging to the
municipal, state or federal government, without having been previously removed from the public domain or without
T48 Land Tenure Typologies Guide
ownership having been legally transferred. The occupants do
not have legal documentation to support their tenure
. Commercialization and irregular occupation of social land (ejido and communal
land
)
Simple subdivision of land into lots. Nonexistent or insufficient urban services or infrastructure. Land use plans and other urban regulations are not respected. Sometimes built on risk areas.
Irregular occupation or urbanization on private land Legal or administrative procedures for land commercialization, construction and urbanization are not properly complied with.
Unidentified
Land Plots with Unknown Owners
Some countries and cities do not have a proper land cadastre or do not have capacity to develop a cadastre map. In this case, some plots can be classified as unknown, or unreachable if known, as in the case of land acquisition.
Note: Keep the following considerations in mind when defining the legal status of the land:
● It is recommended to look for innovative international references that allow the implementation of the prioritized projects in non-regularized properties.
● In all cases, it is recommended to identify the agencies in charge of land regularization at the local level, as well as successful cases of implementation of urban projects on land in a similar situation, according to their territorial scale.
Instructions
Discuss the following questions regarding the state of land tenure in the territory(ies) of interest and what this
means for achieving the priority actions, strategies and projects proposed:
● Do you consider that there are enough municipally-owned properties to cover the deficit of urban
facilities and/or public space?
● What are the prioritized projects and what is their scale of intervention? Is there land available to
carry out these projects?
● Is it possible to know with certainty the legal status of the properties to be intervened?
● Does the plan contemplate intervening on land under special land tenure regimes (e.g.,
environmental conservation areas, historic or heritage centers)?
● Are the intervention polygons private property? What type of properties are contemplated within the
intervention zones?
● Which institution(s) is/are responsible for approving, applying, updating and regulating the legal
status of the land to be intervened for each of the prioritized projects?
● Are there precedents of any intervention on non-municipal property? How feasible is it to regularize
a property according to the priority of the project/intervention?
● Are there national/regional/metropolitan urban development plans that provide guidelines for this
type of intervention? What is recommended for the local context?

335. T48 Land Tenure Typologies Guide
ownership having been legally transferred. The occupants do
not have legal documentation to support their tenure .
Commercialization and
irregular occupation of social
land (ejido and communal
land )
Simple subdivision of land into lots. Nonexistent or insufficient
urban services or infrastructure. Land use plans and other
urban regulations are not respected. Sometimes built on risk
areas.
Irregular occupation or
urbanization on private land
Legal or administrative procedures for land commercialization,
construction and urbanization are not properly complied with.
Unidentified
Land Plots with Unknown
Owners
Some countries and cities do not have a proper land cadastre
or do not have capacity to develop a cadastre map. In this case, some plots can be classified as unknown, or unreachable if known, as in the case of land acquisition.
Note: Keep the following considerations in mind when defining the legal status of the land:
● It is recommended to look for innovative international references that allow the implementation of the prioritized projects in non-regularized properties.
● In all cases, it is recommended to identify the agencies in charge of land regularization at the local level, as well as successful cases of implementation of urban projects on land in a similar situation, according to their territorial scale.
Instructions
Discuss the following questions regarding the state of land tenure in the territory(ies) of interest and what this
means for achieving the priority actions, strategies and projects proposed:
● Do you consider that there are enough municipally-owned properties to cover the deficit of urban
facilities and/or public space?
● What are the prioritized projects and what is their scale of intervention? Is there land available to
carry out these projects?
● Is it possible to know with certainty the legal status of the properties to be intervened?
● Does the plan contemplate intervening on land under special land tenure regimes (e.g.,
environmental conservation areas, historic or heritage centers)?
● Are the intervention polygons private property? What type of properties are contemplated within the
intervention zones?
● Which institution(s) is/are responsible for approving, applying, updating and regulating the legal
status of the land to be intervened for each of the prioritized projects?
● Are there precedents of any intervention on non-municipal property? How feasible is it to regularize
a property according to the priority of the project/intervention?
● Are there national/regional/metropolitan urban development plans that provide guidelines for this
type of intervention? What is recommended for the local context?

336. T49 Land Management Instruments Guide
Descriptio n
This tool will define the land management instruments that will allow the mobilization and valorization of land,
as a result of public investment and regulations that will increase the possibility of having better urban
financing.
Participant s
This task is carried out by the technical team and the person or group of people who have knowledge and
experience in the municipality's finances.
Instructions
Use Table A as a catalog, and place the instruments most compatible with the project portfolio in Table B, then
do the same exercise with the lines of action, using Table C. Use as support the success stories on the
application of land management instruments in the region.
Keep the following considerations in mind when defining land management instruments:
● It is recommended that innovative international references be sought to complement the instruments previously
used in the country, always evaluating their feasibility at the local level.
● In all cases, it is recommended to identify the entity in charge of implementing the instrument, according to
their territorial scale and the institutional framework.
● Table B can be used to identify management tools for areas of development interest.

337. T49 Land Management Instruments Guide
Descriptio n
This tool will define the land management instruments that will allow the mobilization and valorization of land,
as a result of public investment and regulations that will increase the possibility of having better urban
financing.
Participant s
This task is carried out by the technical team and the person or group of people who have knowledge and
experience in the municipality's finances.
Instructions
Use Table A as a catalog, and place the instruments most compatible with the project portfolio in Table B, then
do the same exercise with the lines of action, using Table C. Use as support the success stories on the
application of land management instruments in the region.
Keep the following considerations in mind when defining land management instruments:
● It is recommended that innovative international references be sought to complement the instruments previously
used in the country, always evaluating their feasibility at the local level.
● In all cases, it is recommended to identify the entity in charge of implementing the instrument, according to
their territorial scale and the institutional framework.
● Table B can be used to identify management tools for areas of development interest.
T49 Land Management Instruments Guide
Table A. Land management instruments
Instruments
Description
Regulations for land coming from the agricultural regime
Process for the incorporation of ejido land into urban development.
Territorial regulation
Allocation of land tenure for occupants of spontaneous urban developments
Territorial reserves / Pre-emptive rights
Conformation of land bank for urban growth.
Priority Development and Construction Zone
The State and the municipalities may declare polygons for the development or priority or strategic use of real estate, under the scheme of public or private action systems, in accordance with the objectives set forth in such instruments. The acts of urban use must be carried out, both by the
authorities and by the owners and possessors of the land, in accordance with such declarations and always adjusting to the determinations of the
applicable Urban Development and Metropolitan Zones programs.
For this purpose, the State will delimit priority development and construction polygons for the execution of actions, works, projects and investments in
the following areas:
- Areas with undeveloped land
- Housing areas with potential for improvement
- Feasible areas for urban regeneration
Parcel regrouping
It allows the execution of growth, improvement or conservation actions in a determined area of a population center, through the grouping and redefinition of properties and public spaces, by means of the association and common management of their owners and municipal authorities.
Payment of Building or Development Potential
In accordance with the parameters established in the population land management plan and prior authorization and payment of the building or
development potential in favor of the municipality in the applicable properties, densi fication of buildings may be permitted, as long as the capacity of
water, drainage and electricity services or urban equipment and mobility is not exceeded and ensured.
Inclusionary Zoning
It administers and regulates the basic coef ficient of land use and occupation, based on urban capacity. The owners will have to contribute the compensation for the land use potential of the areas to be expanded to the municipality. Zones may be established where the owners or developers
may administer the land use and occupancy coef ficients, in exchange for land for the lower income population for the bene fits of such increase,
preferably in the area of the development.
Transfer of development rights
Rights arising from the development potential of a property with respect to those arising for residential, tourism, commercial or industrial uses. They are transferable for increased development (higher density) in other zones, ideally in accordance with a master plan, strategic development plan, land
management plan, sector plan and/or neighborhood plan.
Performance Systems
Instrument that seeks to carry out speci fic infrastructure, equipment and public space projects and works that generate direct bene fits to people and the urban environment of speci fic areas.

338. T49 Land Management Instruments Guide
Below are some case studies on the use of some land management instruments.
Case 1: Grenade Cooperative Actuation Systems (GAS)
Location: Mexico City Year: 2015
In April 2015, the Agreement by which the Sistema de Actuación por Cooperación Granadas (SAC
Granadas) was established in the Mayor's Office of Miguel Hidalgo was published in the Official Gazette
of the Federal District. The polygon of the SAC was predominantly industrial and totally or partially
covers 12 neighborhoods of the Miguel Hidalgo District, covering an area of 363 hectares. The
transformation of the Granadas area was a process that began long before the SAC. With the exit of
the industries, a land supply was generated that was taken advantage of by real estate developers. The
Granadas Particular Ordinance (NPO), prior to the SAC, triggered an accelerated development of
offices in the sector. Currently, the area benefits from large investments in infrastructure, and offers
housing in a central area of the city, public spaces, cultural facilities, and commerce, among other
attractions.
Case 2: Parque La Mexicana Cooperative Action Systems (SAC)
Location: Mexico City Year: 2016
It was established between the Government of Mexico City, through the Ministry of Urban Development
and Housing and the Santa Fe Neighborhood Association, whose main objective is the creation of this
unique space in its design and services, including an artificial lake, a skatepark, amphitheater, bike path,
jogging path, children's areas and areas for pets, which are determined thanks to the monitoring tables
and the interaction with neighbors, citizens and citizens that allow consolidating the actions of the Park.
It has a subway storm tank that will capture rainwater and store it for irrigation during the hot season.
Above this tank there is an artificial lake that has been adapted to the geography of the land, which
consists of two bodies, and in one of them there is an islet as a stage for cultural activities and whose
investment amounts to about 2 billion pesos.
Case 3: La Candelaria, Medellín PILaR
Location: Medellin Year 2015
Participatory and Inclusive Land Readjustment (PILaR) is a mechanism through which land units that
have different owners and claimants are combined into a single area through a participatory and
inclusive process for unified planning, re-parcelling and development. The development includes
serviced urban land delivery made possible by the provision of infrastructure, public space and other
urban amenities at a reasonable standard. PILaR relies on negotiated processes that allow local
authorities, citizens and groups to articulate their interests, exercise their formally and socially legitimate
rights, meet their obligations, and mediate their differences.
In the context of PILaR, participation engages not only landowners, but also other stakeholders like
renters, informal occupiers, etc. who need to be sufficiently consulted and involved in the decision-
making process. Their views and interests are taken into account while winning their trust, support,
acceptance and ownership of the process. This process then leads to outcomes that are inclusive. This
means that a PILaR intervention would create neighbourhoods that bring together different income and
social groups as opposed to segregated neighbourhoods and gated communities. It also means all
stakeholders in a project share both the costs and benefits of the project in a fair and equitable manner.

339. T49 Land Management Instruments Guide
Below are some case studies on the use of some land management instruments.
Case 1: Grenade Cooperative Actuation Systems (GAS)
Location: Mexico City Year: 2015
In April 2015, the Agreement by which the Sistema de Actuación por Cooperación Granadas (SAC
Granadas) was established in the Mayor's Office of Miguel Hidalgo was published in the Official Gazette
of the Federal District. The polygon of the SAC was predominantly industrial and totally or partially
covers 12 neighborhoods of the Miguel Hidalgo District, covering an area of 363 hectares. The
transformation of the Granadas area was a process that began long before the SAC. With the exit of
the industries, a land supply was generated that was taken advantage of by real estate developers. The
Granadas Particular Ordinance (NPO), prior to the SAC, triggered an accelerated development of
offices in the sector. Currently, the area benefits from large investments in infrastructure, and offers
housing in a central area of the city, public spaces, cultural facilities, and commerce, among other
attractions.
Case 2: Parque La Mexicana Cooperative Action Systems (SAC)
Location: Mexico City Year: 2016
It was established between the Government of Mexico City, through the Ministry of Urban Development
and Housing and the Santa Fe Neighborhood Association, whose main objective is the creation of this
unique space in its design and services, including an artificial lake, a skatepark, amphitheater, bike path,
jogging path, children's areas and areas for pets, which are determined thanks to the monitoring tables
and the interaction with neighbors, citizens and citizens that allow consolidating the actions of the Park.
It has a subway storm tank that will capture rainwater and store it for irrigation during the hot season.
Above this tank there is an artificial lake that has been adapted to the geography of the land, which
consists of two bodies, and in one of them there is an islet as a stage for cultural activities and whose
investment amounts to about 2 billion pesos.
Case 3: La Candelaria, Medellín PILaR
Location: Medellin Year 2015
Participatory and Inclusive Land Readjustment (PILaR) is a mechanism through which land units that
have different owners and claimants are combined into a single area through a participatory and
inclusive process for unified planning, re-parcelling and development. The development includes
serviced urban land delivery made possible by the provision of infrastructure, public space and other
urban amenities at a reasonable standard. PILaR relies on negotiated processes that allow local
authorities, citizens and groups to articulate their interests, exercise their formally and socially legitimate
rights, meet their obligations, and mediate their differences.
In the context of PILaR, participation engages not only landowners, but also other stakeholders like
renters, informal occupiers, etc. who need to be sufficiently consulted and involved in the decision-
making process. Their views and interests are taken into account while winning their trust, support,
acceptance and ownership of the process. This process then leads to outcomes that are inclusive. This
means that a PILaR intervention would create neighbourhoods that bring together different income and
social groups as opposed to segregated neighbourhoods and gated communities. It also means all
stakeholders in a project share both the costs and benefits of the project in a fair and equitable manner.
T49 Land Management Instruments Guide
A key benefit of PILaR is that it puts stakeholders at the heart of planned city extensions and
redevelopment endeavours throughout the project cycle. The emphasis is on meaningful participation
by all actors, including the effective engagement of poor and marginalized people. PILaR also
embraces academics, financial institutions as well as public and private sector developers who agree to
operate under an appropriate governance, legislative and regulatory framework which should create a
win-win situation for most, if not all, parties involved.
La Candelaria is where the global pilot of the Participatory and Inclusive Land Readjustment (PILaR) is
taking place. The pilot is a joint initiative of Medellin’s Institute of Housing and Habitat (ISVIMED),
Medellin’s Department of Planning and the United Nations Human Settlements Programme
(UN-Habitat), whose officials accompanied the visit.
Instructions
1. Discuss and answer the following questions, as a guide for selecting instruments.
● What are the prioritized projects and what is their scale of intervention? What is the objective of each
one?
● Which institution(s) is/are responsible for approving, implementing, updating and regulating each of
the prioritized projects?
● Are there precedents of any land management instrument that has been previously used at local /
municipal / regional level? How successful was it?
● Are there national/regional/metropolitan urban development plans that recommend land
management instruments? Are they legally binding? What is recommended for the local context?

340. H49 Guide to Land Management Instruments
2. Place in the following table the instruments that the team considers appropriate for effective land management for each strategic project in the
portfolio. You can use this same table to propose land management instruments for other scales of application outlined in Block F Land Management
Plan. An example is shown below in red.
Table B. Proposed Land Management Instruments for the Strategic Project Portfolio
Strategic portfolio
project
Description
Land management instruments
compatible
Neighborhood Center
(Nichupté Bridge)
This project consists of the integration of the Glorieta Antigua Torre de Control into the space designated as a green area to the north. Through the incorporation of proximity
facilities (free first floor), the humanization of the public space and local commerce, it seeks
to create incentives to attract the population and encourage activities of permanence in the
vicinity. The project is de fined based on the vocation of the existing space and enhances
the area with consolidated vegetation.
Performance Systems Payment of Building or Development Potential Inclusionary Zoning
H49 Guide to Land Management Instruments
3. Place in the following table the instruments that the team considers appropriate for effective soil management for each action line, if applicable.
Modify the table as appropriate.
Table C. Proposed land management instruments for lines of action
Strategy
Line of action
Land management instruments
compatible
1
1.1 Urban intervention in the Glorieta Antigua Torre
de Control.
Payment of Building or Development Potential Inclusionary Zoning

341. H49 Guide to Land Management Instruments
3. Place in the following table the instruments that the team considers appropriate for effective soil management for each action line, if applicable.
Modify the table as appropriate.
Table C. Proposed land management instruments for lines of action
Strategy
Line of action
Land management instruments
compatible
1
1.1 Urban intervention in the Glorieta Antigua Torre de Control.
Payment of Building or Development Potential Inclusionary Zoning

342. T50 Financial Instruments Guide
Descriptio n
This tool aims to provide a catalogue of potential financial mechanisms to review before the plan
development, and assess and evaluate what are the best options according to the local context.
Participant s
This task is carried out by the technical team and the person or group of people who have knowledge and
expertise on the municipality's finances.
Instructions
1. Review the following catalogue of financial mechanisms, their characteristics and considerations.
Keep the following considerations in mind when defining financial mechanisms:
● Recurrent revenues might be useful in case of long term planning, when expenses are distributed along a
longer period of time.
● A combination of one time charges and recurrent revenues might be helpful in case there is a higher chance of
unexpected additional costs.
● One-time charges could be more practical in situations in which it is necessary to reach the full budget in a
short period of time.
● External sources of revenue such as loans and credits are more appropriate for longer term and high cost
projects.
2. Reflect on which financial mechanisms could be implemented to finance the project plan and projects,
using the following guiding questions.
Financial Mechanism Identification
Select the financial mechanisms that would be possible and most appropriate to use in the project financing,
according to the legal and financial resources review (A2) Map and keep in mind the specific requirements
and needs in order to implement each one.
⬚ Recurring taxes on land and buildings
⬚ Developer exactions
⬚ Land value increment taxes
⬚ Sale of development rights
⬚ Land leases and sale of public lands
⬚ Transfer taxes
⬚ Domestic credits/loans
⬚ International credits/loans
⬚ Private capital investments

⬚ Other:…………………………………………………………………………….………………..…………………………...

343. T50 Financial Instruments Guide
Descriptio n
This tool aims to provide a catalogue of potential financial mechanisms to review before the plan
development, and assess and evaluate what are the best options according to the local context.
Participant s
This task is carried out by the technical team and the person or group of people who have knowledge and
expertise on the municipality's finances.
Instructions
1. Review the following catalogue of financial mechanisms, their characteristics and considerations.
Keep the following considerations in mind when defining financial mechanisms:
● Recurrent revenues might be useful in case of long term planning, when expenses are distributed along a
longer period of time.
● A combination of one time charges and recurrent revenues might be helpful in case there is a higher chance of
unexpected additional costs.
● One-time charges could be more practical in situations in which it is necessary to reach the full budget in a
short period of time.
● External sources of revenue such as loans and credits are more appropriate for longer term and high cost
projects.
2. Reflect on which financial mechanisms could be implemented to finance the project plan and projects,
using the following guiding questions.
Financial Mechanism Identification
Select the financial mechanisms that would be possible and most appropriate to use in the project financing,
according to the legal and financial resources review (A2) Map and keep in mind the specific requirements
and needs in order to implement each one.
⬚ Recurring taxes on land and buildings
⬚ Developer exactions
⬚ Land value increment taxes
⬚ Sale of development rights
⬚ Land leases and sale of public lands
⬚ Transfer taxes
⬚ Domestic credits/loans
⬚ International credits/loans
⬚ Private capital investments
⬚ Other:…………………………………………………………………………….………………..…………………………...
T50 Financial Instruments Guide
Use the following guiding questions to identify the most suitable financial mechanism(s):
Regulatory and legal frameworks:
● Considering the current fiscal systems and legal frameworks, what instruments can be implemented according
to the law?
● What financial mechanisms are already in place and working in the Municipality?
● What reforms would have to be carried out in order to implement specific financial mechanisms? How feasible
is it to carry out such reforms?
● How do these mechanisms align with current policy directions at local, state, and national levels?
● How long would it realistically take to pass the necessary legislation or policies to implement the selected
financial mechanisms?
● How might upcoming elections affect the implementation of these financial mechanisms?
● How transparent are these mechanisms? Is there room for corruption or misuse of funds?
Administrative capacities and local context:
● How are taxes currently collected and managed?
● Are there adequate human resources to manage these new financial mechanisms?
● What are the existing institutional arrangements between local and central government?
● What are the land market conditions in the areas where the plan will be implemented?
● What level of digital infrastructure is in place for implementing new financial mechanisms (e.g., tax collection
systems, financial reporting, etc.)?
● Can the existing technology adapt to increased demands if the financial mechanism is successful?
● How informed is the community about the benefits and drawbacks of new financial mechanisms?
● What platforms or methods are available for community engagement and feedback?
● Is there broad political support for the proposed financial mechanisms among elected officials, administrative
departments, and the public?
● How would the general populace likely react to these new financial mechanisms? Are they popular or
controversial?
● How would the proposed financial mechanisms affect different social and economic groups within the
municipality?
● Could any of the mechanisms lead to gentrification or displacement of existing communities?
Budget/available funds and implementation times:
● What is the estimated duration of the implementation of the plan? Will there be long term costs to cover?
● Are there existing funds destined to cover part of the plan and project costs?
● Would it be necessary to find a financial mechanism to cover future maintenance costs?
● Could the plan foresee profitable activities?
● Which financial mechanisms are most suitable for pilot testing or phased implementation?
● What key performance indicators would determine the success of a pilot?
● Are there any state or federal programs that offer matching funds for your chosen financial mechanisms? What
are the prerequisites and timelines for applying for such matching funds?
Access to credit:
● What is the credit capacity of the municipality?
● What are the regulations and requirements to access local and international credit?
● What is the current credit rating of the municipality? How does this rating impact the kinds of loans or bonds
the municipality can issue?

344. T50 Financial Instruments Guide
● What is the current debt-to-revenue ratio for the municipality? What are the safe boundaries for this ratio
according to local, regional, or national laws?
● What are the prevailing interest rates for municipal loans, and how could these rates affect the cost of financing
over the short and long term?
● What are the typical repayment periods available for the kinds of credit the municipality is considering?
● If considering international loans, what are the foreign exchange risks, and are there any country-specific
restrictions or requirements?
● If considering issuing bonds, what is the likely appetite for these in the market? Are there any recent examples
of similar municipalities successfully issuing bonds?
● What assets does the municipality own that could be used as collateral for loans?
Projects and thematic areas:
● What are the types of projects and actions that could result from the planning process? Are there specific
thematic areas that the plan is focusing on, for which specific financial mechanisms could be used?
● Are there projects in specific thematic areas that are aligned to existing national and international funds (climate
change, housing, transport, etc.)? What are the requirements to apply for these funds?
● How easily can the project scale up if the initial phase is successful?
● What are the resource and infrastructural limitations to scaling up the project?
● How do these projects align with existing municipal development goals?
● Are these projects in line with state or national strategic objectives?
Revenue opportunities:
● Which interventions foreseen by your plan might generate revenues?
● Will any of the interventions (e.g., a new commercial zone, a tourism initiative, etc.) contribute to an increased
tax base, be it property, sales, or income tax?
● Are there services (like toll roads, paid parking, etc.) that could bring in revenue through user fees?
● Does the plan involve the sale or lease of public land or other assets?
● Can revenue be generated through public-private partnerships, for instance, through concession stands or
naming rights?
● Will any of the interventions attract tourists and thus bring in associated revenues, such as hotel taxes or tourist
attraction fees?
● Are there projects (e.g., renewable energy installations, carbon capture initiatives) that could earn environmental
credits which can be sold?
● Are there specific sectors or activities that are likely to attract external grants or subsidies?
Short-term and long-term benefits and drawbacks:
● What immediate financial benefits can this mechanism offer the municipality? How will these benefits affect
current projects and plans?
● What challenges might arise in the initial stages of applying this financial mechanism?
● How might citizens, businesses, and other local stakeholders react in the short term to this mechanism?
● Will this mechanism require significant administrative or infrastructural changes to implement immediately?
● How sustainable is this financial mechanism over a 10, 20, or 30-year period?
● How will this mechanism affect the local economy in the long run?
● As the municipality's needs change, how adaptable is this mechanism?
● How might this mechanism shape the city's long-term reputation or creditworthiness?

345. T50 Financial Instruments Guide
● What is the current debt-to-revenue ratio for the municipality? What are the safe boundaries for this ratio
according to local, regional, or national laws?
● What are the prevailing interest rates for municipal loans, and how could these rates affect the cost of financing
over the short and long term?
● What are the typical repayment periods available for the kinds of credit the municipality is considering?
● If considering international loans, what are the foreign exchange risks, and are there any country-specific
restrictions or requirements?
● If considering issuing bonds, what is the likely appetite for these in the market? Are there any recent examples
of similar municipalities successfully issuing bonds?
● What assets does the municipality own that could be used as collateral for loans?
Projects and thematic areas:
● What are the types of projects and actions that could result from the planning process? Are there specific
thematic areas that the plan is focusing on, for which specific financial mechanisms could be used?
● Are there projects in specific thematic areas that are aligned to existing national and international funds (climate
change, housing, transport, etc.)? What are the requirements to apply for these funds?
● How easily can the project scale up if the initial phase is successful?
● What are the resource and infrastructural limitations to scaling up the project?
● How do these projects align with existing municipal development goals?
● Are these projects in line with state or national strategic objectives?
Revenue opportunities:
● Which interventions foreseen by your plan might generate revenues?
● Will any of the interventions (e.g., a new commercial zone, a tourism initiative, etc.) contribute to an increased
tax base, be it property, sales, or income tax?
● Are there services (like toll roads, paid parking, etc.) that could bring in revenue through user fees?
● Does the plan involve the sale or lease of public land or other assets?
● Can revenue be generated through public-private partnerships, for instance, through concession stands or
naming rights?
● Will any of the interventions attract tourists and thus bring in associated revenues, such as hotel taxes or tourist
attraction fees?
● Are there projects (e.g., renewable energy installations, carbon capture initiatives) that could earn environmental
credits which can be sold?
● Are there specific sectors or activities that are likely to attract external grants or subsidies?
Short-term and long-term benefits and drawbacks:
● What immediate financial benefits can this mechanism offer the municipality? How will these benefits affect
current projects and plans?
● What challenges might arise in the initial stages of applying this financial mechanism?
● How might citizens, businesses, and other local stakeholders react in the short term to this mechanism?
● Will this mechanism require significant administrative or infrastructural changes to implement immediately?
● How sustainable is this financial mechanism over a 10, 20, or 30-year period?
● How will this mechanism affect the local economy in the long run?
● As the municipality's needs change, how adaptable is this mechanism?
● How might this mechanism shape the city's long-term reputation or creditworthiness?
T50 Financial Instruments Guide
MUNICIPAL REVENUES (OWN) → PROPERTY TAXES Description
Considerations
Periodicity
Expenses Budget Municipal
Resources from the operating budget of the agencies involved
Central Government
Transfers from the state budget through applicable funds or programs. Tax paid on a recurring basis, most commonly annual → ongoing revenue
stream for the city.
Taxes associated with the bene fit obtained by the property from speci fic infrastructure improvements. This is the tax contribution of the land or property owner that is bene fited by an increase in the value of the land resulting from the construction of a public work, thus being a mechanism that allows the creation of an exchange of interests by the parties involved. Developers fee paid for the approval of additional developments or the release of building permits.

346. T50 Financial Instruments Guide
Also known as extractions or impact fees. These are charges in addition to those
typically required (water, sewage, lighting,
paving, etc.) and are imposed on real
estate developers as a condition for them
to receive permits for new construction.
Property Tax Property taxation is a common revenue source for local governments worldwide. It is historically linked to local government because real property cannot easily relocate to avoid taxation. While changes in property taxes can impact property values and in fluence people's decisions about where to live, these e ffects are generally smaller than those associated with income and sales taxes at the local level.
For its application, the party responsible for the payment of such tax established in
the enabling law (or its national
equivalent) must be defined, whether it is
the owner or the occupants. Likewise, the
legal and administrative capacities for the
collection of the tax must be clari fied.
Recurring
Define tax revenues, exemptions, property valuation (based on market value, annual
rental value, physical condition and
characteristics or a hybrid approach).
Personal Income Tax Local income taxes are not as widely used as property taxes in many regions. In some places, local governments levy a local income tax that is a portion of the central or state/provincial income tax. Another approach involves implementing a separate income tax system that is administered by the local government independently.
Recurring
Corporate Income Tax
Levying local corporate income taxes has few advantages because they apply to a mobile tax base, resulting in revenue volatility. These taxes may deter economic development and create competition among local governments. Administering such taxes is complicated as corporations operate in multiple jurisdictions, making it challenging to determine taxable income.
Might discourage business investment in the local area due to the complexity and potential for higher taxation compared to other jurisdictions.
Recurring, but may vary depending on corporate pro fits and economic conditions
General Consumption Tax

347. T50 Financial Instruments Guide
General consumption taxes, such as value-added taxes (VAT) and retail sales taxes, are commonly used to generate revenue. VAT is typically levied at the central government level in most countries,
while some regions have experimented with state/provincial VATs. Introducing a municipal sales tax
alongside property taxes can help ensure that all users contribute to funding local services, reducing
the burden on local residents.
Can be regressive, impacting lower-income individuals more. Requires a well-established system for collection and enforcement.
Recurring
Payroll Tax Payroll taxes allow municipalities to tax commuters, ensuring those who use city services contribute even if they do not pay property taxes. However, these taxes can discourage employment and create distortions in workforce decisions.
May lead to reduced job creation or encourage businesses to relocate to areas with lower or no payroll taxes.
Recurring
Excise Taxes Vehicle Tax Excise taxes are applied to speci fic goods or services at the time they are purchased. A common
example in municipal taxation is the vehicle tax. Fuel taxes can be seen as bene fiting those who use
the road system since they pay a tax related to their fuel consumption. They are considered somewhat
crude instruments for pricing road use or addressing externalities like pollution and congestion. In
contrast, congestion charges (tolls) and vehicle registration fees o ffer more e ffective ways to manage
these issues.
Can be seen as a user fee for road use but may not accurately re flect individual
usage or externalities like pollution.
Typically annual,
though it could
vary depending on
the speci fic
structure of the tax
Hotel Occupancy Tax Another typical type of excise taxes is the hotel occupancy tax, an extra charge added to the existing central or state/provincial sales tax rate on hotel and motel accommodations. It is typically justi fied as a way to compensate local governments for the additional services required to accommodate tourists or visitors.
Aims to capture revenue from visitors who benefit from local services, but could impact tourism if perceived as too high.
Recurring
Contributions for improvements Taxes associated with the benefit obtained by the property with the improvement of speci fic infrastructures. It is the tax contribution of the owner of a property or real estate that is bene fited by an
increase in the value of the land resulting from the construction of a public work, thus being a
mechanism that allows the creation of an exchange of interests by the parties involved.
It is important to determine the area that will benefit, in order to calculate the
increase in land value per plot after the
intervention. The commitment and
One-time /
Recurring over a
defined period of
time

348. T50 Financial Instruments Guide
cooperation of the landowners should also be sought. It is recommended to have a clear communication plan regarding bene fits
and improvements, as well as to consider
mechanisms to collect improvement fees
over a longer period of time, making it
easier for taxpayers. The relevant regulations establish that the contribution must be agreed with the
people bene fiting from the works, i.e., it
cannot be imposed unilaterally, but must
be agreed with the taxpayers. It is recommended that technical assistance be requested from specialized
agencies for the correct implementation
of this mechanism.
Exactions or impact fees (urban impact mitigation measures) A fee that developers must pay to have new developments approved or to obtain building permits.
It is typically used to address new or adjust existing infrastructure needed to meet the needs of new development.
One-time
Also known as extractions or impact fees . These are fees in addition to those typically required (water, sewage, lighting, paving, etc.) and are imposed on real estate developers as a condition for them to
receive licenses for new construction.
Mitigation measures may be financial in nature or charged in kind by providing
land, building infrastructure or facilities, or
providing public services.

349. T50 Financial Instruments Guide
MUNICIPAL REVENUES (OWN) → FEES FOR USE OF SERVICES AND/OR IMPACT MITIGATION CONTRIBUTIONS. Description
Considerations
Periodicity
Fees for the use of a speci fic municipal asset / service Speci fic services that can be o ffered at competitive rates to the community. Such services may include parking, use of sports facilities, rental of space for events, temporary concessions of public spaces, among
others.
They can be offered to citizens and the community on a subsidized
basis, and to external parties as a
recurring source of income.
Recurring
Fees for environmental and other services Environmental assets and services are all those inputs from nature that humans use and/or intermediate inputs that are used for the production of goods and services.
Municipal governments can act as guardians of the diverse ecosystems
within their jurisdiction and ensure
that the ecosystem services they
provide are sustained over time.
Recurring
Some of the ecosystem services include: providing nutritious food
and clean water; regulating disease
and climate; supporting crop
pollination and soil formation; and
providing recreational, cultural and
spiritual bene fits.
It is recommended to coordinate with official entities of the central
government and/or specialized
environmental ministries for the
correct implementation of this tool.

350. T50 Financial Instruments Guide
Contributions for mitigation of environmental impacts and/or damages Legal and economic tool to assign responsibility for the necessary expenses in the restoration of the environment, as well as the payment of compensation for the damage caused. It is a tool that obliges the
perpetrator of the damage to pay fair compensation, which helps to prevent future environmental damage.
These charges or fees can directly contribute to the remediation of
environmental damage produced, as
well as set up funds/trusts that can
be used to finance urban
development projects, urban
regeneration, urban ecosystem
regeneration, etc.
By occurrence
It is recommended to coordinate with o fficial entities of the central
government and/or specialized
environmental ministries for the
correct implementation of this tool.
MUNICIPAL REVENUES (OWN) → URBAN FINANCING MECHANISMS Description
Considerations
Periodicity
Sale of development rights One time-charges from acquiring the permission to further develop the land. The land ownership and land development right is separated, as the second can be obtained either by the landowner or a third party
(normally auctioned in an open market).
It is applied to areas where there is demand for more intensive/additional
development; it is used to manage,
control and encourage growth in
speci fic areas. It is important to have
administrative and technical capacity
to apply this type of rights.
One-time
Land leases and sale of public lands

351. T50 Financial Instruments Guide
Government sells or leases the land to transform an asset into revenue for high-investment long-term public projects. Leases can be one-time or annual charges.
Assess that public land will not be needed in the future; transparent
process and public consultation.
One-time / Annual
Transfer taxes Tax in respect of the conveyance of the title to land rights from one party to another.
Normally a percentage of the total value of the property is destined to
finance the property registration
system.
Once
Land value increment taxes (optional land-use, change in density) One-time charges applied to the potential increase in land value possibly resulting from public investments, change in land use or evolution of the market conditions.
It is not intended to recover the cost of speci fic
interventions/infrastructure or service
improvements.
One-time
It applies to changes in land use, change of density (building or
residential - number of floors or
residential units allowed, for
example), transfer of land to another
party.
Land-use changes The granting of more pro fitable land uses than those assigned in the Municipal Urban Dev elopment Plans or as a result of an update of the instrument, is associated with a requested compensation or contribution
from the bene ficiaries.
The granting of more profitable land uses is associated with a
consideration or contribution from
landowners.
Optional land-use

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Onerous acquisition by the property owners of a land use that is "optional" or "additional" to the "basic" use established in the municipal planning instruments.
Optional" land uses are established by the Municipal Urban Development
Plans in certain zones, where it is
possible to acquire greater building
intensity, higher housing density or a
broader land use.
OWN-SOURCE MUNICIPAL REVENUE → LAND VALUE CAPTURE INSTRUMENTS Description
Considerations
Periodicity
Land Banking Land banking is a state-led land management tool used to ensure the future supply of land for development and to address various land market and land use planning challenges. It involves the
strategic acquisition, holding, and management of land by government or public entities for future
development purposes.
It is applied to areas where there is demand for more intensive/additional
development; it is used to manage,
control and encourage growth in
speci fic areas. It is important to have
administrative and technical capacity
to apply this type of rights.
One-time
Land Readjustment Land readjustment is an urban development and regeneration strategy commonly employed in the redevelopment of old city cores. This process involves the consolidation, reshaping, and redevelopment of individual land parcels. The objective is to create a new and improved urban layout, where these land parcels are integrated into a more organised and e fficient urban grid, complete with upgraded infrastructure. Land readjustment is typically a collaborative e ffort involving various stakeholders, including local governments, private entities, property owners, and non-governmental organisations.
Assess that public land will not be needed in the future; transparent process and public consultation.
One-time / Annual

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Land Leasing Land leasing is used by municipalities to generate revenue from the increase in land value resulting from public infrastructure investments and urban development. It involves granting the right to use land for a
speci fied period, typically through leases or land tenure arrangements, in exchange for periodic payments
or rent.
Normally a percentage of the total value of the property is destined to
finance the property registration
system.
Once
Inclusionary Housing or Zoning Inclusionary Housing is a regulatory approach used by municipalities to promote socioeconomic diversity and a ffordable housing within a community. The fundamental concept behind inclusionary housing is that it encourages or mandates real estate developers to include a certain percentage of a ffordable housing units within their market-rate residential or commercial developments.
It is not intended to recover the cost of speci fic interventions/infrastructure or service improvements.
One-time
Exactions Exactions refer to conditions imposed by a municipality on developers for the granting of special approvals or permissions necessary for a development project. Developers are asked to provide certain bene fits to the community in exchange for the right to build on a particular parcel of land. The primary purpose of exactions is to o ffset the costs associated with the additional public services and infrastructure necessitated by new development.
Ensure that the exactions are proportionate to the impact of the development and legally defensible. They should be used to address speci fic needs created by the development, like infrastructure or community services.
One-time
Land Value Taxes A land value tax (LVT) is a type of property tax that is based solely on the assessed value of the land itself, irrespective of any buildings, structures, personal property, or improvements on the land. This tax is unique in that it taxes the economic value of the land, often based on its location and potential use.
Requires a reliable and up-to-date assessment of land values. Can
encourage efficient land use but
might be challenging to implement in
areas with fluctuating land values.
Recurring

354. T50 Financial Instruments Guide
Impact Fees (Linkage Fees) Impact fees are charges imposed on developers by municipalities or local government authorities as a one-time fee or payment to o ffset the costs associated with a development’s impact on public services
and infrastructure.
Must be carefully calculated to re flect the actual impact of the development on public services and infrastructure. Important to balance between covering costs and not discouraging development.
One-time
Special Assessments A special assessment is a mechanism used by municipalities to finance public improvements or services that speci fically bene fit certain property owners or properties. These charges are typically levied on property owners who receive direct and unique advantages from the public improvement or service.
They should be equitable, reflecting the degree of bene fit to the property.
Transparency in the process and clear
communication with affected
property owners are crucial.
Can vary; often levied as a one-time charge or over a de fined period tied to the improvement or service.
Transfer of Development Rights It is a land use planning tool that allows landowners to transfer the development potential, particularly the density allowances, from one piece of land to another. This mechanism serves multiple purposes, including generating revenue for public investment and supporting urban planning objectives.
Requires a robust legal framework and market for trading development rights. Can be used to preserve certain areas while encouraging growth in others.
Case-by-case basis, typically at the time of a development proposal or land-use change.
Charges on Building Rights

355. T50 Financial Instruments Guide
This is a mechanism used by municipalities to generate revenue for funding infrastructure or other public improvements. Developers pay fees to the municipality in exchange for the right to undertake additional
development on their properties. This can take various forms, such as an increase in the Floor Area Ratio
(FAR) or other development-related rights.
The fees should be proportional to the value added by the additional
development rights. Important to
ensure transparency in the process
and equitable application to different
developers.
One-time
PRIVATE SECTOR INVOLVEMENT → PUBLIC-PRIVATE PARTNERSHIPS (PPPs) Description
Considerations
Periodicity
Design-Build (DB) The Design-Build model is a traditional procurement model. It begins with the issuance of a tender, and a vendor is selected to design and construct a project, typically for a fixed fee. The private partner is responsible for building the infrastructure according to the government's speci fications. The government maintains ownership of the project and has the option to operate it or outsource operations.
Requires clear speci fications and expectations from the government. Risks associated with design and construction are transferred to the private partner, necessitating thorough contract management.
Project basis, typically with payment upon completion or at speci fied milestones
Operation and Maintenance Contract (O&M) An Operation and Maintenance (O&M) contract involves a private company operating a publicly owned asset for a de fined duration. Despite this operation, ownership of the assets remains with the public partner. Payment is either fixed or performance-based, with incentives for exceeding service levels or penalties for underperformance.
Effective performance monitoring and
incentive structures are critical. Clear
definitions of service standards and
maintenance responsibilities are
necessary.
Recurring

356. T50 Financial Instruments Guide
Build-Operate-Transfer (BOT) The Build-Operate-Transfer (BOT) model involves the private sector designing, funding, and building a new facility under a long-term concession. It is often used to finance large-scale infrastructure projects.
The ownership is transferred back to the public sector upon completion of the project, typically in 20 to
30 years. Usually, BOT private contractors are special-purpose companies formed exclusively for a given
project. This model o ffers signi ficant construction freedom to the private partner and shifts equity risk to
the public sector.
Long-term planning and risk assessment are crucial, with signi ficant
reliance on the private sector's financial
and operational capabilities. The
government should ensure alignment
with public interests over the
concession period.
Long-term
Design-Build-Finance-Operate (DBFO) DBFO, prominent in UK's Private Finance Initiative (PFI) projects, involves private sector designing, building, financing, and operating an asset, then leasing it back to the government in 25 to 30 years. This minimises long-term risk for the public sector. The government retains project ownership.
Involves complex financial arrangements and long-term commitments. Requires careful assessment of the value for money and risk transfer. E ffective partnership management and alignment with public
Long-term

357. T50 Financial Instruments Guide
sector objectives are essential.
Build-Own-Operate (BOO)
Long-term
Build-Own-Operate (BOO) refers to a contractual arrangement where an investor constructs, operates, and maintains a facility. Once the facility is completed, the investor gains ownership and the ongoing
right to operate it inde finitely, unless the government chooses to buy back the asset after a
predetermined time, as agreed upon mutually.
Requires substantial initial capital investment and long-term commitment
from the private sector. The
government should ensure that public
interests are safeguarded through
regulatory and monitoring mechanisms.
Build-Own-Operate-Transfer (BOOT) Build-Own-Operate-Transfer (BOOT) is a project delivery method where a government entity permits a private sector party to finance, design, construct, own, and operate a project for a predetermined duration. This setup closely resembles the build-operate-transfer (BOT) model, with the key distinction being that the private sector party maintains ownership of the asset throughout the agreement's term. BOOT arrangements are frequently employed for building power stations, water treatment plants, and sewage facilities.
Similar to BOT, but with extended private ownership, requiring careful alignment with public sector goals and effective risk management. Suitable for large-scale infrastructure projects.
Long-term
Buy-Build-Operate (BBO) Buy-Build-Operate (BBO) refers to a type of transaction where an existing asset is sold by the government to a private sector entity. In addition to the sale, the private sector entity is also responsible for rehabilitating or expanding the facility as needed to ensure its pro fitable operation.
Involves the privatization of existing public assets, necessitating a clear
framework for asset valuation,
rehabilitation responsibilities, and
operational standards
Indefinite operation post-purchase
Build-Lease-Operate-Transfer (BLOT)

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The Build, Lease, Operate, Transfer (BLOT) model is a project arrangement where a private contractor undertakes the construction of a project, typically on land leased from a public entity. The contractor is
responsible for building the facility and then operating it throughout the duration of the lease period. At
the end of the lease term, ownership of the facility is transferred back to the public entity or the client that
originally granted the lease.
Requires clear terms for the lease and operation. The public sector retains land ownership, ensuring control over the project's location and purpose.
Defined by the
lease term
Build-Own-Lease-Transfer (BOLT) This heterodox procurement method of project financing involves a public sector client providing a concession to a private entity for constructing a facility. The private entity gains ownership of the facility, which is then leased to the public sector. At the lease term's conclusion, ownership of the facility is reverted to the government. This approach shifts the financial responsibility of project funding from the client to a private entity.
Shifts financial responsibility to the private sector while ensuring public
sector control through leasing
arrangements. Suitable for projects
where immediate public funding is
limited.
Lease period
defines the
operation phase
Build-Lease-Transfer (BLT) Build-Lease-and-Transfer (BLT) refers to a contract-based setup where a concessionaire is authorized to finance and build a facility. Once the construction is finished, the concessionaire leases the facility to the relevant government agency for a predetermined period. At the lease term's end, ownership of the facility is seamlessly transferred to the government.
Ensures that the private sector bears the initial construction costs. The lease
period should reflect the time needed
to recoup investments and provide a
fair return. Government oversight is
essential to ensure that facility
standards are met.
The lease period defines operation
duration
Lease-Develop-Operate (LDO) LDO is an investment model where a public sector entity maintains ownership of a recently constructed infrastructure facility. The facility is leased to a private promoter who develops and operates it, making lease payments to the public sector. This approach is commonly employed for airport development and allows the public sector to retain ownership while bene fiting from private expertise and investment.
The public sector retains ownership and benefits from private sector
expertise. Lease agreements must
clearly define development, operation
responsibilities, and lease payment
structures.
Recurring

359. T50 Financial Instruments Guide
Design-Construct-Manage-Finance (DCMF) The DCMF model involves delegating a private entity with the responsibilities of designing, constructing, managing, and financing a facility according to the government's requirements. The private entity follows
the speci fications outlined by the government for the facility's creation. The government's rent payments
serve as a revenue stream for the private entity, and in return, the government bene fits from
well-designed, constructed, and managed facilities.
Involves comprehensive private sector involvement in facility creation and management. The government must ensure that the facility meets public service requirements and that costs are controlled.
Long-term
Operate-Maintain-Transfer (OMT) In an OMT contract, the usual arrangement involves the service provider overseeing facility operations, handling maintenance tasks, and o ffering training in facility operation and upkeep. This continues until the responsibility can be handed over to the employer.
Suitable for scenarios where the public sector seeks expertise in operation and
maintenance. The transfer of
responsibility should be planned to
ensure continuity of service quality.
The contract
defines the
operation and
maintenance
period
Finance Only In this model, a private entity, often a financial services company, provides funding for an infrastructure project. In return, they charge the public-sector partner interest for using the funds.
Simpli fies public-private partnerships by focusing solely on financing. The public sector must ensure that it can meet the financial obligations, including interest payments.
Typically tied to the
repayment
schedule of the
loan or financial
arrangement
Management Contract Model Asset ownership remains with the state, and the public sector is accountable for capital expenditure. On the other hand, the private sector oversees operation and maintenance. These contracts typically span a duration of 3 to 5 years.
Focuses on the efficiency and expertise of the private sector in operations and
maintenance while retaining public
control over capital expenditures and
asset ownership. The public sector
Short to
medium-term

360. T50 Financial Instruments Guide
needs to ensure effective oversight and performance metrics.
Engineering-Procurement-Construction (EPC) EPC contract is used to undertake construction works by the private sector on large-scale infrastructure projects. The government takes responsibility for funding an entire project, while a private sector partner
is tasked with ful filling the engineering and construction aspects of the project.
The government bears the full financial responsibility, with the private sector responsible for the technical aspects. Ensuring the project is completed on time and within budget is crucial. The contract should clearly de fine the scope and standards.
Project-based
Hybrid Annuity Model The Hybrid Annuity Model (HAM) is a unique approach in infrastructure projects that combines elements from the traditional Engineering, Procurement, and Construction (EPC) model and the Build-Operate-Transfer (BOT) model with an annuity payment structure. Unlike BOT, where the private sector finances the project and recovers costs through user fees or other revenue streams, HAM involves a shared investment. The government provides a portion of the initial investment, and the private sector contributes the remaining amount.
A collaborative approach that reduces financial burden on both public and private sectors. Risk sharing is a key feature, requiring clear agreements on investment proportions and responsibilities. Suitable for large-scale projects where user-fee recovery is uncertain.
Long-term
EXTERNAL FINANCING → LOCAL GOVERNMENT DEBT Description
Considerations
Periodicity

361. T50 Financial Instruments Guide
Domestic credits/loans Loans provided by local financial institutions or public debt provided by an institution of a higher hierarchy
to the municipality, such as the national government.
They are provided in local currency and are more accessible to local
governments, so they should be a
priority, compared to international
credits.
By occurrence
It is recommended that technical assistance be requested from
specialized agencies for the correct
implementation of this mechanism.
International credits/loans Loans provided by Multilateral Development Banks, normally provide a low interest rate and longer payment terms. They entail currency risks because the loan is generally in international currency but the revenues in local currency.
Typically, the processes are more complex in terms of project
preparation requirements and take
longer. Generally, loans are not
granted directly to the local
government, but to the national
government, which provides payment
guarantees.
By occurrence
Resources from international cooperation agencies to carry out projects through technical, academic, humanitarian or financial cooperation. There are several cooperation mechanisms: regional, bilateral,
triangular, among others. Each one
establishes the rules and application
guidelines, usually related to
development, sustainability,
emergencies and health.

362. T50 Financial Instruments Guide
It is recommended to coordinate with multilateral entities and specialized
agencies for the correct
implementation of this tool.
Private capital investments Different modalities of Public Private Partnerships (PPP) in which the private sector invests in public infrastructure and services by leading its execution, operation and/or service provision (e.g. road
infrastructure).
There are different modalities of Public-Private Partnerships (PPP) in
which the private sector invests in
infrastructure and public services
leading their execution, operation
and/or provision of services (e.g.,
road infrastructure).
By occurrence
This investment is paid for over time by end users (e.g., tolls), by the government, or by both. There are multiple ways to carry out these partnerships. Normally, it is recommended that they take place when private sector participation involves a transfer of knowledge, technology and management systems. It is recommended that technical assistance be requested from
specialized agencies for the correct
implementation of this mechanism.
Municipal Bonds Municipal bonds are debt securities issued by municipal governments, including cities, counties, states, and other local authorities. The primary purpose of issuing municipal bonds is to raise funds for financing various capital expenditures or infrastructure projects that bene fit the community.
These bonds often enjoy tax-exempt status, making them attractive to
investors. It's important for the
issuing municipality to maintain a
The repayment schedule is de fined
at issuance

363. T50 Financial Instruments Guide
good credit rating to ensure lower borrowing costs.
Revenue Bonds Revenue bonds are a type of municipal bond issued by a local government or public agency to finance a speci fic project or facility that is expected to generate revenue. Unlike general obligation bonds, which are
backed by the full faith and credit of the issuing municipality, revenue bonds are secured by the income
generated by the project or facility they finance.
The feasibility and projected revenue of the project being financed are
critical, as these bonds are repaid
from speci fic revenue sources rather
than general taxation. This requires
careful project assessment and
revenue forecasting. Suitable for
self-sustaining projects like toll roads,
utilities, or airports.
The bond term aligns with the expected revenue generation timeline of the project, which can vary widely but is often long-term to match the lifecycle of the financed facility or project.
EXTERNAL FINANCING → GOVERNMENT AND/OR PRIVATE FUNDS Description
Considerations
Periodicity
Subsidie s Contribution or economic support granted by a governmental authority or institution, intended to promote the development of projects to be implemented.
- They are usually granted to activities that do not generate any
economic bene fit.
By occurrence
Concessions

364. T50 Financial Instruments Guide
A permit issued by a governmental authority that allow s the use and management of a space or project.
These may be for exploitation and public works. The former refers to
when a publicly owned space is
granted to a private entity, through a
public bidding process, to make use
of it and o ffer a service.
Recurring,
predetermined period of time
The second type of concession consists of the development of the
public space or facility by the private
sector, which must finance its
construction. In return, the
concessionaire receives the right to
exploit the property for a certain
period of time, and then it becomes
part of the government's public
property.
It is recommended that technical assistance be requested from
specialized agencies for the correct
implementation of this mechanism.
Transfers / Financial allocations from Central Government Funds from the tax revenues of the Republic's General Budget, which are transferred to Regional or Local Governments to fund various programs or projects, in accordance with their o fficial functions. These transfers must be faithfully aligned to the allocated budget of each entity, and will be restricted to the maximum amount allowed for execution, according to their historical records.
Its objective is to promote investment in the different municipalities of the
country, with a redistributive
criterion, in favor of the most remote
and depressed areas, prioritizing the
allocation to rural and urban-marginal
localities of the country.
Likewise, they can come from taxes
on economic activities that occur
within their political limits (zones of
influence), such as mining (canon
Annual / Multi-year

365. T50 Financial Instruments Guide
and sur-canon), commerce (royalties, customs revenues), among others,
which will be redistributed as a
participation in the income tax.
Likewise, speci fic transfers can be
established and safeguarded in funds
or trusts in speci fic cases of
disasters. These funds may be
accessible on a national or regional
basis, so it is advisable to review the
various options available to local
governments to access these
resources in the event of a disaster.
Donations or voluntary contributions Non-reimbursable monetary or in-kind funds granted on a voluntary basis, i.e., without obligation.
There are different types of donations or contributions according to their
frequency, which can be one-time or
periodic.
By occurrence
EXTERNAL FINANCING → MULTILATERAL AND/OR INTERNATIONAL FUNDS Description
Considerations
Periodicity
Thematic areas financing (Climate Change)

366. T50 Financial Instruments Guide
Internal or external funds obtained from agencies,
organisations and/or private
entities focused on a speci fic
thematic area, or revenues
targeted to a speci fic topic or
objective (housing, climate
change, mobility and
transport, etc.).
It is recommended that technical assistance be requested from specialized agencies for the correct implementation of this mechanism.
 By occurrence
Green bonds The proceeds are invested exclusively in projects that produce environmental bene fits, such as the development of Nature-based Solutions and the ecosystem services that are provided by them. Green bonds are issued by private or public stakeholders committed to pay in the future with a fix or variable rate of return, allowing financial viability for present projects.
Consideration must be given to the capabilities of the entity issuing the bond, which will have to establish
procedures for monitoring and reporting on the use of proceeds.
One-time
There are principles and standards that help assess whether an asset or project can qualify as green (e.g., the Green Bond Principles, the Climate Bond Taxonomy, the Climate Bond Standard and the Certi fication System). Certi fication of green and climate bonds can improve trust and transparency, which in turn helps attract investors
seeking green investments.
It is recommended to coordinate with official entities of the central government, specialized entities, multilateral organizations and/or environmental ministries for the correct implementation of this tool.
Catastrophe Bonds (CAT Bonds)

367. T50 Financial Instruments Guide
These are debt instruments issued by insurers to raise
funds to cover damages
caused by a disaster. During
the issuance of these bonds,
the insurers commit to issue a
coupon with special
conditions so that the entire
debt can be covered during a
speci fic period.
There are different ways to cover the bond debt, either by deferred payments, which do not exceed 5 years of
duration.
By occurrence
CAT bonds have a broad spectrum of applications in the event of a disaster, which can cover everything from earthquakes, volcanic eruptions, fires to hurricanes, floods and storms. CAT bonds have been used most frequently during the COVID-19 pandemic and the recovery process from that
emergency.
Carbon finance Where climate actions include a GHG mitigation bene fit (e.g.
waste management that
captures methane), carbon
markets through carbon
offsets can be used to
leverage private and public
funding. Action supported
through carbon finance must
account for measurable,
reportable and veri fiable GHG
emission reduction.
When a project is able to create quanti fiable bene fits for the community and biodiversity, they can increase the value of carbon offsets through certi fied sustainable development standards and increase their access to carbon markets.
Recurrent for a
defined period of
time
Aggregating technology options at the city level can help achieve a scale of emissions reductions needed to access carbon markets. It is recommended that technical assistance be requested from specialized agencies and/or private entities for the correct implementation of this mechanism.
Climate funds, foundations, charities and non-pro fit organizations:

368. T50 Financial Instruments Guide
Many international climate funds (e.g., Green Climate
Fund , Global Environment
Facility , Global Climate
Partnership Fund ,etc.),
philanthropic foundations and
charities, non-pro fit
organisations (e.g., ICLEI )
operate grant programmes.
There are also regional and
national funds destined
exclusively to address climate
change issues in speci fic
countries. (e.g Amazon Fund ,
National Climate Change Trust
Funds). While many are linked
to associated climate change
planning support
programmes, there are also
some opportunities to fund
smaller-scale actions.
Consider the responsible entity and the geographic scope of the project, as well as its scale of implementation: local, subnational or national. This will facilitate the identi fication of the best funding entity, as there are speci fic funding programs depending on the scope and type of actor leading the project.
One-time / Annual
renewal
Identify the cross-cutting issues that funders hope to address with the grant (resilience, biodiversity, economic
development, health, etc.).
It is recommended to coordinate with official entities of the central government, specialized entities, multilateral
organizations and/or environmental ministries for the correct implementation of this tool.
Insurance: Insurance programs can help transfer and reduce climate change risks. The main objective of insurance is to ensure financial and fiscal resilience in case of shocks and stressors. In addition,
Consider insurance as part of the local resilience strategy to accelerate investments in disaster risk reduction and climate adaptation actions, as well as address the need for rapid access to early recovery financing.
Recurring

369. T50 Financial Instruments Guide
insurance can help reduce risk by increasing risk awareness,
encouraging risk reduction
(e.g. the installation of climate
resilient residential
infrastructure) and supporting
economic development.
Parametric insurance, which provides a payout based on a triggering event, is well suited to cities because the diverse mix of infrastructure and other assets in the urban context may be too complex to underwrite and insure
through standard risk pooling arrangements.
It is recommended that technical assistance be requested from specialized organizations and/or private entities for the correct implementation of this mechanism.
Land-based financing for climate action There are numerous financial mechanisms for climate
adaptation that derive from
the sustainable management
of ecosystem services and
green spaces. These can fall
under the category of
land-based financing tools for
climate action, which include
land value capture
mechanisms (LVC) or
property, income and sale
taxes. These mechanisms can
help pay for urban
infrastructure investments
related to climate change
mitigation and adaptation.
Effective for generating revenue for climate-related projects, but requires careful valuation of land and assessment of tax impacts on property owners. Should align with broader urban planning and sustainability goals.
Varies depending on the speci fic mechanism used (e.g., annual for property taxes, one-time for land
value capture)
.

370. T50 Financial Instruments Guide
INNOVATIVE AND SPECIALIZED FINANCING MODELS Description
Considerations
Periodicity
Tax Increment Financing (TIF) Tax Increment Financing (TIF) is a financial mechanism commonly used by U.S. cities to
rejuvenate blighted urban areas, particularly
downtown cores. Cities create TIF districts for
capital improvements and allocate any future
growth in property taxes within these districts to
fund infrastructure and economic development
projects. The goal of TIF districts is to enhance
urban quality of life and boost future tax revenue.
Can spur redevelopment in underutilized urban areas but may divert tax revenues from other municipal needs. Requires careful planning to ensure the bene fits outweigh the costs and that
the redevelopment leads to desired economic growth.
Long-term
Revolving Funds Revolving funds are financial mechanisms used to provide loans for speci fic projects or initiatives, and once the loans are repaid, the funds are made available for lending again. These funds are designed to be self-sustaining and are often used for various purposes, including infrastructure development, community improvement, and economic development.
Must be e ffectively managed to ensure loan repayment and fund sustainability. Suitable for ongoing projects where initial capital can be recouped and reinvested.
Ongoing, as funds
are continuously
recycled once
loans are repaid.

371. T50 Financial Instruments Guide
Micro financing Micro financing, also known as microcredit, refers to the provision of small financial services, such
as loans or credits, to individuals, entrepreneurs,
and small businesses who typically lack access to
traditional banking services. Micro finance
institutions (MFIs) and organisations o ffer these
financial services to help low-income and
underserved populations access capital and
improve their economic prospects.
Provides critical financial services to underserved populations. Risk management and understanding of local economic conditions are important for ensuring repayment and
sustainability.
Typically short to medium-term, depending on the
terms of the
individual loans or
credits.
Grants from International NGOs Grants from international Non-Governmental Organisations (NGOs) are financial resources provided to support speci fic projects or initiatives, often in developing countries. These grants operate independently of government entities and are used to address social, humanitarian,
Often targeted towards speci fic projects with clear objectives and measurable outcomes. Requires compliance with the grant's terms and conditions, and e ffective project management to meet the NGO's requirements.
One-time /
Project-speci fic

372. T50 Financial Instruments Guide
environmental, or developmental issues. Equity Financing Equity financing refers to a method of raising capital or funds for a project, business, or
organisation by selling ownership shares or stakes
in a publicly owned asset. Individuals or entities
invest money in exchange for ownership or equity
in the venture.
Offers a way to raise capital without incurring debt, but it dilutes ownership. Suitable for projects or businesses with high growth potential. Transparency and clear valuation methods
are essential.
One-time event per
fundraising round
Leveraged Funds Leveraged funds involve using an initial amount of capital as a foundation and then securing additional financing through borrowing to amplify available resources. While this strategy can enhance the potential for gains, it also entails increased risk and financial obligations, particularly if the investment or project does not perform as expected.
Ampli fies financial resources but increases risk exposure. Requires careful financial management and risk assessment to ensure that returns justify the borrowing costs.
Typically used for
speci fic investment
opportunities or
projects
Performance-Based Grants Performance-based grants are a type of financial assistance provided to individuals or organisations with the condition that the disbursement of funds is contingent upon the achievement of predetermined performance or outcome targets. These grants are designed to incentivize and reward successful results.
Motivates grantees to achieve speci fic outcomes. Requires clear definition of performance targets and robust mechanisms for monitoring and evaluation.
Disbursements are usually contingent
on meeting
performance
milestones, which
can be short-term
or spread over the
duration of the
project

373. T50 Financial Instruments Guide
Equity Crowdfunding Equity crowdfunding is a form of fundraising for a project that attempts to attract small investments
from a large number of individuals or investors,
often through online crowdfunding platforms. In
equity crowdfunding, investors receive ownership
shares or equity in the venture in exchange for
their financial contributions.
Democratizes investment opportunities but requires effective marketing and investor relations. Investors should be aware of the risks associated with early-stage investments.
Typically a
one-time
fundraising event,
although additional
rounds may occur
as the venture
grows.
Social Impact Bonds Social Impact Bonds (SIBs) are innovative financial arrangements designed to address social challenges and improve speci fic social outcomes through partnerships between the public sector, private investors, and service providers.
Aligns investment with social outcomes, but requires precise definition of success metrics and robust impact measurement. Often involves complex multi-party agreements.
Long-term
Shared Savings Mechanisms Shared-savings incentives are often used by utility companies to enhance their earnings by promoting and rewarding customer energy efficiency e fforts. These incentives create a win-win situation where the bene fits of cost-e ffective energy e fficiency measures are shared among various stakeholders, including customers participating in utility demand-side management (DSM) programs, all utility ratepayers, and the utility company itself.
Encourages energy e fficiency and conservation, bene fiting all stakeholders. The mechanism's success depends on e ffective implementation and customer engagement.
Ongoing
Blended Financing

374. T50 Financial Instruments Guide
Blended financing combines various instruments, such as grants, guarantees, debt, and equity, in a
strategic manner to support projects or initiatives,
particularly in sectors like development,
infrastructure, and sustainable investments. The
key feature of blended finance is its flexibility,
which allows for customised financial payo ffs
based on the speci fic needs and risks associated
with a project.
Enables leveraging of funds and risk sharing across multiple financiers. Requires careful coordination and alignment of di fferent financial instruments and stakeholders' interests.
Project-based
Crowdsourced Financing for Public Amenities Crowdfunding is an increasingly popular tool for achieving “citizen co-funding” of public amenities. Unlike traditional methods of funding, where public amenities are typically financed by government budgets or grants, crowdsourced financing relies on contributions from a large number of individuals, businesses, or organisations.
Engages the community directly in funding projects, enhancing public buy-in and support. Requires e ffective marketing and clear communication of project goals and bene fits.
One-time/
Sometimes
multiple rounds
Rate of Return Guarantees Rate of return guarantees serve as financial incentives to encourage private sector participation in projects such as infrastructure, renewable energy, and public services. These guarantees promise a speci fic rate of return on the investment, typically o ffering a level of financial security to private investors who may otherwise be hesitant to commit their capital to the project.
Attracts private investment by reducing financial risk. Important to set realistic return rates and ensure the project's long-term viability.
Tied to the duration of the investment
Community Share Offers

375. T50 Financial Instruments Guide Community shares are a type of equity investment made by individuals into cooperative organizations
or community bene fit societies. When individuals
purchase these shares, they become partial owners
of the organization and hold a financial interest in its

success. Community shares are withdrawable and non-transferable.
Strengthens community engagement and investment in local projects. Shareholders should be aware of the risks and potential for returns.
One-time / Multiple
phases
Pay-for-Success Grants The strategy of procuring positive social or environmental outcomes by paying for an intervention only once it produces those outcomes is referred to as Pay-for-Success (PFS) contracting. This innovative approach to funding initiatives aims to shift the financial risk from funders and governments to service providers and investors while ensuring that resources are directed toward programs that demonstrably achieve desired outcomes.
Focuses on outcomes, incentivizing effective and efficient service delivery. Requires clear metrics for success and robust evaluation mechanisms.
Outcome-depende
nt and tied to the
project or program
duration
Community Development Block Grants The Community Development Block Grants (CDBG) are a form of financial assistance provided by the U.S. federal government to states, cities, and counties with the goal of enhancing urban communities. It focuses on improving housing quality and increasing economic opportunities, especially for low- and moderate-income individuals.
Targets urban development, with a focus on bene fiting low- and moderate-income individuals. Requires compliance with federal guidelines and e ffective community planning.
Annual
Enterprise Zones

376. T50 Financial Instruments Guide An enterprise zone is a designated geographical area that receives speci fic incentives from the
government to stimulate private economic
development and job creation within that region.
These incentives include tax breaks, regulatory
exemptions, financial incentives, and various forms
of public assistance.
Bene fits must be balanced with potential displacement effects and ensuring equitable development.
Long-term

377. T50 Financial Instruments Guide
3. Below are some case studies on the use of some financial instruments.
Case 1: Earthquake in Oaxaca and FONDEN
Location: Oaxaca, Mexico Year: 2017
In 2017 there was an earthquake of magnitude 8.2 which devastated several municipalities in the
southern part of the state of Oaxaca, Mexico. Among them, the municipality of Juchitán was the most
affected city with 14,000 collapsed homes, for which it was declared a disaster area and requested
support from the Natural Disaster Fund (FONDEN), whose objective is to support the attention of
unforeseeable disasters whose magnitude exceeds the financial response capacity of the states and
municipalities. To address this disaster, a State Reconstruction Commission was created to report the
damage to infrastructure through different evaluation processes, request resources from FONDEN and
manage the reconstruction process. In the first weeks after the disaster occurred, resources were
allocated to address priority and urgent works known as Immediate Partial Support (APIN, for its
acronym in Spanish). Later, with a damage assessment based on photographic supports and satellite
geo-references, the amount of damages was quantified and an authorization was issued to FONDEN
for the delivery of the financial support in partial installments that needed to be covered for the
reconstruction of the city and the support to the affected population.
Case 2: Developer Contributions
Location: New South Wales, Australia
In Australia, Developer Contributions are currently applied in the states of New South Wales, Victoria
and Queensland under legislation that articulates planning provisions and policies. The legislation
establishes an articulated system covering: definition of infrastructure, detailed plans and contributions,
the different types of development, the place of contributions in planning, as well as restrictions on the
application of contributions.
In New South Wales there is a more established tradition in the application of these contributions,
defined in Section 94 of the New South Wales (NSW) Environmental Planning and Assessment Act of
1979. This Act calls them "Contributions towards provision or improvement of amenities or
services" and provides that when a development seeking approval requires the provision of or
increases the demand for public facilities or services in the area, the competent authority may require
the dedication of land free of charge or the payment of a monetary contribution.
The value of the contribution does not depend on the demand generated by the
particular development
that is processing the authorization, but is a proportion of all future demand in the city, estimated for the
next 10 years. Furthermore, it establishes that although the services financed by the contribution must
serve the needs of those who created this new demand, they do not necessarily have to be located
close to the development that finances them.

378. T50 Financial Instruments Guide
Case 3: Bonus Plazas or Privately Owned Public Spaces (POPS)
Location: New York
These emerged in 1961, when the New York City zoning ordinance included the possibility of increasing
the densities of some areas by offering density bonuses to those property owners who were willing to
create publicly accessible plazas and galleries on their properties.
Through this legal device, developers in certain areas of the city who offer to build public spaces on
their land can obtain a density bonus to increase the buildable area of their project. Depending on the
density of the district in which the project is located, developers obtain between 4 and 10 m2 in extra
density bonuses for each m2 of plaza and between 2 to 3 m2 of extra density for each m2 of gallery
with public access. Initially, these bonuses were obtained "as of right", that is, during the project
approval process once it was demonstrated that the bonuses had been correctly calculated and that
the minimum standards for the plaza or gallery had been met. By the year 2000, 503 public spaces had been created through this mechanism on private property, in
320 commercial and residential buildings and facilities, totaling 3.5 million square feet (325,500 m2 ).
These spaces were created in exchange for the authorization of approximately 20 million square feet of
density bonuses (i.e., 1.8 million m2 of additional buildable square footage over and above what was
established in the planning), of which 16 million had already been built by the year 2000. Kiefer (2001)
illustrates that the city obtained an area of publicly accessible space equivalent to about 30 New York
City blocks in exchange for authorizing an extra buildable area equivalent to 1.6 World Trade Centers,
however, this mechanism has not been without controversy.

379. T50 Financial Instruments Guide
Case 3: Bonus Plazas or Privately Owned Public Spaces (POPS)
Location: New York
These emerged in 1961, when the New York City zoning ordinance included the possibility of increasing
the densities of some areas by offering density bonuses to those property owners who were willing to
create publicly accessible plazas and galleries on their properties.
Through this legal device, developers in certain areas of the city who offer to build public spaces on
their land can obtain a density bonus to increase the buildable area of their project. Depending on the
density of the district in which the project is located, developers obtain between 4 and 10 m2 in extra
density bonuses for each m2 of plaza and between 2 to 3 m2 of extra density for each m2 of gallery
with public access. Initially, these bonuses were obtained "as of right", that is, during the project
approval process once it was demonstrated that the bonuses had been correctly calculated and that
the minimum standards for the plaza or gallery had been met. By the year 2000, 503 public spaces had been created through this mechanism on private property, in
320 commercial and residential buildings and facilities, totaling 3.5 million square feet (325,500 m2 ).
These spaces were created in exchange for the authorization of approximately 20 million square feet of
density bonuses (i.e., 1.8 million m2 of additional buildable square footage over and above what was
established in the planning), of which 16 million had already been built by the year 2000. Kiefer (2001)
illustrates that the city obtained an area of publicly accessible space equivalent to about 30 New York
City blocks in exchange for authorizing an extra buildable area equivalent to 1.6 World Trade Centers,
however, this mechanism has not been without controversy.
T50 Financial Instruments Guide
Place in the following table the instruments that the team considers appropriate for effective financing for each strategic project in the portfolio. You can use this
same table to propose financial instruments for other scales of implementation delineat ed in Block F Land Management Plan. An example is shown below i n red.
Table B. Proposed Financial Instruments for Strategic Project Portfolio
Strategic Portfolio
Projects
Description
Instruments
financial
Neighborhood Center
(Nichupté Bridge)
This project consists of the integration of the Glorieta Antigua Torre de Control into the space designated as a green area to the north. Through the incorporation of proximity
facilities (free first floor), the humanization of the public space and local commerce, it seeks
to create incentives to attract the population and encourage activities of permanence in the
vicinity. The project is de fined based on the vocation of the existing space and enhances
the area with consolidated vegetation.
● Operating budget of the agencies involved ● Applicable federal funds and programs
● Cooperation for public works: contribution for
improvements
● Taxes and royalty collections: real property taxes
● Additional construction rights: changes in land uses and
optional land uses
4. Place in the following table the instruments that the team cons iders appropriate for effective financing for each line of action.

380. T50 Financial Instruments Guide
Table C. Proposed financial instruments for lines of action
Strategy
Line of Action
Instruments
financially compatible
1
1.1 Urban intervention in the Glorieta Antigua Torre de Control.
Operating budget of the agencies involved Applicable federal funds and programs Cooperation for public works: contribution for improvements Taxes and royalty collections: real property taxes Additional construction rights: changes in land uses and option al land uses

381. T51 Regulatory Instruments Guide
Descriptio n
This catalog helps to assess the existing legal framework, as well as the legal requirements for plan approval
and, finally, to identify potential improvements to the current regulations to ensure proper implementation of
the plan, and the prioritized projects. For a complete assessment of legislation, use the Planning Law
Assessment Framework developed by UN-Habitat.
Participants
This task is carried out by the technical team and institutions involved with legal approvals and its
developement.
Instructions
1. Complete the following table identifying the most relevant instruments for each territorial scale, seeking to
identify those that most directly influence the implementation of the strategic project portfolio, and/or the
implementation of the lines of action. Refer to the results of the Legal Framework Review (Activity 2)
for reference.
Table A. Regulatory Instruments
Scope Examples Instruments
National
Urban or tax laws
Sustainable Urban Development Act
National urban policy
National housing policy
Sustainable building code
Equity policy
Policies
Development Vision and Plans
● General Law of Ecological Balance and
Environmental Protection and its Regulations on Environmental Impact.
● General Wildlife Law.
● General Law and Regulations for Sustainable Forestry Development.
● General Law of National Assets and Regulations for the Use and Development of the Territorial Sea, Waterways, Beaches, Federal Maritime-Terrestrial Zone and Land
Reclaimed from the Sea.
Local /
Municipal
Urban Plans
Neighborhood Plans
Municipal Urban Development Program of
Benito Juárez, Quintana Roo 2018-2030
Spatial visions
Institutional mechanisms
Participatory mechanisms
Ordinances
Urban parameters
Construction regulations
Zoning code
Building code

382. T51 Regulatory Instruments Guide
2. Then discuss and respond to the following regulatory framework checklist.
Identification of planning instruments (at the national, regional and metropolitan levels)
● What are the existing planning documents at different planning scales? What is the purpose of each?
● Which institution(s) is/are responsible for approving, implementing, updating and regulating each planning
document?
● Are there national/regional/metropolitan urban development plans and are they legally binding? What is
recommended for the local context?
● What institutional body/ies are responsible for approving and/or developing local plans?
● What are the requirements for approval of the planning document?

383. T51 Regulatory Instruments Guide
2. Then discuss and respond to the following regulatory framework checklist.
Identification of planning instruments (at the national, regional and metropolitan levels)
● What are the existing planning documents at different planning scales? What is the purpose of each?
● Which institution(s) is/are responsible for approving, implementing, updating and regulating each planning
document?
● Are there national/regional/metropolitan urban development plans and are they legally binding? What is
recommended for the local context?
● What institutional body/ies are responsible for approving and/or developing local plans?
● What are the requirements for approval of the planning document?
T51 Regulatory Instruments Guide
3. Identify the most relevant regulatory instruments, and complete the table indicating the proposed improvements and/or modifications to each legislation, as
well as the regulations to be incorporated, to ensure the correct implementation of the strategic project portfolio.
Table B. Proposed Policy Instruments for Strategic Project Portfolio
Prioritized
projects
Instruments
identi fied
Proposed improvement and/or modi fication
New regulations to be
incorporated, modi fied or adapted
Neighborhood
Center (Nichupté
Bridge)
Tax instruments for the recovery of
property value
In Mexico, there are few applications of speci fic tax instruments that tax real estate capital gains
or the increase in the value of the land generated by public action. The Political Constitution
allows it; however, in order to implement it, it would have to be added in the Fiscal Code of the
State of Quintana Roo and in the Treasury Laws. It is worth mentioning that the implementation
of tax instruments will surely be rejected by the citizens, especially if the instrument for its
collection (especially the mechanisms for accountability) and t he transparency in the use and
destination of the resources are not clear, timely and truthful.
Keep the following considerations in mind when de fining financial mechanisms:
● The incorporation of new regulations may be beyond the competence of the technical team and/or the municipality.
● In all cases, it is recommended to identify the agencies in charge of introducing such legislation, or implementing improvements to existing legislation, according to
their territorial scale.
● The tables are referential, and more projects/instruments may be included, if applicable.

384. T51 Regulatory Instruments Guide
4. Identify the most relevant regulatory instruments, and complete the table indicating the proposed improvements and/or modi fications to each legislation, as
well as the regulations to be incorporated, to guarantee the correct implementation of the lines of action and strategies .
Table C. Proposed policy instruments for lines of action
Strategy
Line of action
New regulations to be incorporated, modi fied or adapted

385. T52 Governance Instruments Guide
Description
The purpose of this tool is to provide a catalog of management instruments that can be used to implement
the portfolio of strategic projects and lines of action.
Participants
This task is carried out by the technical team and the entity, or group, who have knowledge and experience
in the management of urban projects in the municipality.
1. Review the following table and discuss with the team how one or several action systems can be articulated
with the strategic project portfolio and the lines of action.
TABLE A. Actuation system
Action Definition
Public
It is the action that takes place in the public sphere, in the interests of society.
Private
It is the action that appeals to the interests of a group or a person. It refers to the areas
of the market and individual life.
Public-Private
It is the collaboration between the public sector and the private sector through
public-private partnerships or alliances with the purpose of aligning the objectives of the different national actors and creating consensus; it has been present and has evolved in all modern States in different ways. There are two types: A. Those covering a general and political scope, and aimed at designing general agreements on the development of a group of countries, a country or a region.
B. Those that have an impact on a specific area related to the provision of
infrastructure, goods and services -specific and productive partnerships.
2. Below are some case studies on the use of some management tools.
Case 1: The Santiago Public-Private Water Fund
Location: Santiago, Chile Year: 2019
Santiago's Water Fund was created to protect the city's freshwater. Through the Water Fund, the city
sought to develop a solution to adapt to alterations in precipitation due to climate change by investing
in conservation, green infrastructure, and watershed restoration. The fund will help maintain and
increase the availability of surface and groundwater in quantity and quality and help manage the risks
associated with extreme weather events. It is the first water fund in Chile and is based on the
cooperation of different public and private actors, such as the Regional Government, the Association of
Rural Municipalities, a local water supply company, the companies Nestlé and Anglo American, and
NGOs, such as the Nature Conservancy.

386. T52 Governance Instruments Guide
Case 2: Tacubaya Urban Regeneration Project
Location: Mexico City Year: 2010
The Tacubaya Cooperative Action System seeks to restore both the social and urban-spatial fabric in
order to renew and recover the area through public and private investment based on the
implementation of sustainability policies with a comprehensive approach. Strategic actions include the
recovery of public space, the organization of transportation and commerce, the reuse of abandoned
properties and the repopulation of the neighborhood. It includes an area of 141.2 hectares in 4
neighborhoods of the Miguel Hidalgo district.
Among the projects planned are: Tacubaya Sur Social Housing (Ciudad Perdida), Tacubaya Modal
Transfer Center (CETRAM), remodeling of the "Peña Manterola" and "Becerra" markets, improvement of
the urban environment of Tacubaya Sur, remodeling of the Pediatric Hospital, Water District and
intervention in schools.
Case 3: La Plaine Saint-Denis and the Mixed Economy Companies (Sociétés d’Economies Mixtes )
Location: Paris, France Year: 1993
Mixed capital companies (Sociétés d'Economies Mixtes, SEM) are common in France, where local
governments make frequent use of them for social housing projects, urban infrastructure and municipal
public services such as waste collection and public transportation. A representative example of this type of joint venture is La Plaine Saint-Denis, which is implementing a
complex urban project to revitalize 700 hectares of urban land in the northeastern part of Paris. The
construction of the Grand Stadium for the 1998 World Cup was the trigger investment for a project with
broader objectives that included boosting the overall economic recovery of the area, revitalizing the
former industrial zone, developing a social housing program, improving the environment, and renewing
the transportation system that connects this area to the rest of the city. In France, public-private companies are created by municipal governments under the so-called Law on
Local Mixed-Capital Companies. This law describes the decision-making bodies of the SEMs and
defines the level of autonomy of the participants in decision-making.
Local governments, with an equity
participation of between 51% and 80%, are the actors with the most significant role. The development of the La Plaine Saint-Denis project was divided into four areas: urban development,
transportation, business and commercial zones, and construction of the Grand Stadium.
● Urban development was organized in the form of a mixed capital company called Plaine
Developement. It involved private banks, with a 23% investment, the central government, with
8%, and the Syndicat La Plaine Renaissance, which included the municipalities of Saint-Denis,
Aubervilliers and Saint-Ouen, with 69% of the capital.
● The transportation improvements and the promotion of business and commercial areas were
carried out through another public-private partnership called Societé Nationale d'Economie
Mixte (SANEM), involving the following members: the Municipality of Saint-Denis, the Caisse de
Dépots et Consignations, the Gas (GDF) and Electricity (EDF) companies, and the Paris
Chamber of Commerce.
T52 Governance Instruments Guide
● Finally, the construction of the Grand Stadium was carried out by a public-private partnership
between the central government, the construction company BOUYGUES and two other
companies, Lyonnaise des Eaux DUMEZ and Général des Eaux.
Case 4: Development Corporation of Bilbao, Ría 2000 Company
Location: Bilbao, Spain Year: 1992-present
Bilbao, Sociedad Ría 2000 is the result of agreements reached between the different national, regional
and local government administrations within the framework of a collaboration process to promote the
development of the Basque Country and the transformation of Bilbao. It is a joint stock company with
public capital in which the Spanish central government through the Ministry of Public Works and its
dependent companies (Sociedad Pública Empresarial del Suelo, Autoridad Portuaria de Bilbao and
Empresa de Ferrocarriles RENFE and FEVE) and the Basque administrations (Basque Government,
Diputación Foral de Vizcaya and the Municipalities of Bilbao and Baracaldo) participate in equal parts. The objective of the Company is to recover degraded zones or industrial areas in decline in metropolitan
Bilbao, through the coordination and execution of actions that integrate urban planning, transportation
and the environment. The aim is to generate public works for the municipalities with the income

obtained from the sale of land for development to the private sector. The incorporation of Sociedad Ría 2000 was financed 50% by the Spanish State and 50% by the
Basque institutions. The initial capital of the company was only US$1.7 million, but the company also
has resources from the sale of land assigned by the public companies dependent on the Spanish State,
mainly Puerto Autónomo and RENFE. On the basis of the raw land, Sociedad Bilbao Ría 2000 plans,
restructures, develops and resells the plots (as part of existing or future projects) to public or private
developers. The Company's existence is justified by the fact that it is executing the agreed development
plans. Once these are completed, and if no new ones are generated, the Company's purpose will have
been fulfilled and it will be extinguished. The Company's activities have had a variety of impacts on the development of
Bilbao, including: the
recovery of previously depressed and uninhabited areas; the financing of public works with private
resources, at no cost to the municipalities; the improvement of public and recreational areas; and the
increase in the number of jobs and tax revenues for the municipalities. The Company has also relocated
displaced communities without uprooting them and has provided social housing in adequately
developed areas.

387. T52 Governance Instruments Guide
Case 2: Tacubaya Urban Regeneration Project
Location: Mexico City Year: 2010
The Tacubaya Cooperative Action System seeks to restore both the social and urban-spatial fabric in
order to renew and recover the area through public and private investment based on the
implementation of sustainability policies with a comprehensive approach. Strategic actions include the
recovery of public space, the organization of transportation and commerce, the reuse of abandoned
properties and the repopulation of the neighborhood. It includes an area of 141.2 hectares in 4
neighborhoods of the Miguel Hidalgo district.
Among the projects planned are: Tacubaya Sur Social Housing (Ciudad Perdida), Tacubaya Modal
Transfer Center (CETRAM), remodeling of the "Peña Manterola" and "Becerra" markets, improvement of
the urban environment of Tacubaya Sur, remodeling of the Pediatric Hospital, Water District and
intervention in schools.
Case 3: La Plaine Saint-Denis and the Mixed Economy Companies (Sociétés d’Economies Mixtes )
Location: Paris, France Year: 1993
Mixed capital companies (Sociétés d'Economies Mixtes, SEM) are common in France, where local
governments make frequent use of them for social housing projects, urban infrastructure and municipal
public services such as waste collection and public transportation.
A representative example of this type of joint venture is La Plaine Saint-Denis, which is implementing a
complex urban project to revitalize 700 hectares of urban land in the northeastern part of Paris. The
construction of the Grand Stadium for the 1998 World Cup was the trigger investment for a project with
broader objectives that included boosting the overall economic recovery of the area, revitalizing the
former industrial zone, developing a social housing program, improving the environment, and renewing
the transportation system that connects this area to the rest of the city.
In France, public-private companies are created by municipal governments under the so-called Law on
Local Mixed-Capital Companies. This law describes the decision-making bodies of the
SEMs and
defines the level of autonomy of the participants in decision-making. Local governments, with an equity
participation of between 51% and 80%, are the actors with the most significant role. The development of the La Plaine Saint-Denis project was divided into four areas: urban development,
transportation, business and commercial zones, and construction of the Grand Stadium.
● Urban development was organized in the form of a mixed capital company called Plaine
Developement. It involved private banks, with a 23% investment, the central government, with
8%, and the Syndicat La Plaine Renaissance, which included the municipalities of Saint-Denis,
Aubervilliers and Saint-Ouen, with 69% of the capital.
● The transportation improvements and the promotion of business and commercial areas were
carried out through another public-private partnership called Societé Nationale d'Economie
Mixte (SANEM), involving the following members: the Municipality of Saint-Denis, the Caisse de
Dépots et Consignations, the Gas (GDF) and Electricity (EDF) companies, and the Paris
Chamber of Commerce.
T52 Governance Instruments Guide
● Finally, the construction of the Grand Stadium was carried out by a public-private partnership
between the central government, the construction company BOUYGUES and two other
companies, Lyonnaise des Eaux DUMEZ and Général des Eaux.
Case 4:
Development Corporation of Bilbao, Ría 2000 Company
Location: Bilbao, Spain Year: 1992-present
Bilbao, Sociedad Ría 2000 is the result of agreements reached between the different national, regional
and local government administrations within the framework of a collaboration process to promote the
development of the Basque Country and the transformation of Bilbao. It is a joint stock company with
public capital in which the Spanish central government through the Ministry of Public Works and its
dependent companies (Sociedad Pública Empresarial del Suelo, Autoridad Portuaria de Bilbao and
Empresa de Ferrocarriles RENFE and FEVE) and the Basque administrations (Basque Government,
Diputación Foral de Vizcaya and the Municipalities of Bilbao and Baracaldo) participate in equal parts.
The objective of the Company is to recover degraded zones or industrial areas in decline in metropolitan
Bilbao, through the coordination and execution of actions that integrate urban planning, transportation
and the environment. The aim is to generate public works for the municipalities with the income
obtained from the sale of land for development to the private sector.
The incorporation of Sociedad Ría 2000 was financed 50% by the Spanish State and
50% by the
Basque institutions. The initial capital of the company was only US$1.7 million, but the company also
has resources from the sale of land assigned by the public companies dependent on the Spanish State,
mainly Puerto Autónomo and RENFE. On the basis of the raw land, Sociedad Bilbao Ría 2000 plans,
restructures, develops and resells the plots (as part of existing or future projects) to public or private
developers. The Company's existence is justified by the fact that it is executing the agreed development
plans. Once these are completed, and if no new ones are generated, the Company's purpose will have
been fulfilled and it will be extinguished. The Company's activities have had a variety of impacts on the development of Bilbao, including: the
recovery of previously depressed and uninhabited areas; the financing of public works
with private
resources, at no cost to the municipalities; the improvement of public and recreational areas; and the
increase in the number of jobs and tax revenues for the municipalities. The Company has also relocated
displaced communities without uprooting them and has provided social housing in adequately
developed areas.

388. T52 Governance Instruments Guide
3. Review the following table and discuss with the team how one or more management tools can be linked to the strategic project portfolio.
TABLE B. Management instruments
Ranking
Definition
Instruments
Description
Strategic
restructuring
Two or more organizations seeking to join together in pursuit of a shared objective
results in a structural change or the creation
of a new entity.
Fusion
Organizations that work together towards a common goal, end up uniting into a single organization.
Subsidiary entities
Organizations working together towards a common goal end up creating a new entity.
Joint Ventures
Organizations working together toward a common goal.
Alliances
These are more formal and structured forms of management than simple circumstantial collaboration, but they do not entail radical structural changes in the parties involved, which maintain their character as separate and distinct entities.
Impact purposes
Association
They usually serve and represent the interests of those involved, although this distinction is not universal.
Coalition
Sharing a speci fic social or political change objective
Commitment
The commitment integrates actions, speci fic activities, deadlines and responsible parties.
Multi Sectoral working group
An institutional working group (intersectoral or multi-institutional formalized with the participation of actors from different sectors to achieve a particular objective working groups establish responsibilities and accountabilities
and promote synergy and team
Administrative purposes,
collection or programming
Administrative Consolidation
Used when two or more organizations unify part of their management structures in order to jointly make acquisitions, design their marketing strategies and/or train their personnel.

389. T52 Governance Instruments Guide
Fiscal sponsorship
An organization offers, usually for a contract and a fee, the use of its legal status and fiscal extension, and often also administrative support to groups
dedicated to the same mission but lacking such status.
Joint Programming
Used for the launching and joint management of one or more programs that meet the objectives of both parties.
Joint ventures and profit sharing
organizations come together to manage an income-generating acti vity that bene fits them all
Collaboration
There are many ways to collaborate, and collaborations are not mutually exclusive. Organizations can and do collaborate with multiple organizations, often from multiple sectors, on a variety of initiatives. In fact, today more than ever, organizations must collaborate, both broadly and deeply, because that is what is needed to address the complex challenges we face.
Coordinated action
Used for the elaboration of events
Joint lobbying
Used to promote legislation on relevant issues
Collaborative learning
Used for joint coordination of training events
Networks
Used to more effectively in fluence decision makers

390. T52 Governance Instruments Guide
4. As a team, propose for the portfolio of strategic projects, the system of action that they consider ideal. Likewise, the management mechanisms
consider the responsibilities and co-responsibilities established in the Participatory Prioritization Workshop (Activity 36) .
TABLE C. Proposed Management Instruments for the Strategic Project Portfolio
Project
Description
Accontable
Responsible
Co-Responsible
Consulted or
Informed
Actuation
system
Management tool
 Neighborhoo d Center
(Nichupté
Bridge)
This project consists of the integration of the
Glorieta Antigua Torre de
Control into the space
designated as a green
area to the north.
Through the incorporation
of proximity facilities (free
first floor), the
humanization of the
public space and local
commerce, it seeks to
create incentives to
attract the population and
encourage activities of
permanence in the
vicinity. The project is
defined based on the
vocation of the existing
space and enhances the
area with consolidated
vegetation.
AGEPRO (Agency for
Strategic
Projects)
● Office of
projects
● State Secretariat of
Sustainable Urban Territorial and Urban Development
● IMPLAN
● Municipal Secretariat of Ecology and Urban Development
● Municipal Secretariat of Public Works and Services
● State Secretariat of Public Works
● Municipal Secretariat of Public Safety and Transit
Public Public-Private
● Multi-sectoral
working groups (PPPs)
● Neighborhood Network: Joint lobbying and coordinated action (citizen participation).

391. T52 Governance Instruments Guide
5. As a team, propose the ideal system of action for the lines of action. Also, propose the responsible and co-responsible actors using the results
of the Participatory Prioritization Workshop (Activity 36).
TABLE D. Proposed Management Instruments for the Lines of Action
Strategy
Line of action
Responsible
Co-responsible
Accountable
Consulted or
Informed
Actuation
system
Management tool
Neighborhood Center
(Nichupté
Bridge)
1.1 Urban intervention in the Glorieta Antigua Torre de Control.
AGEPRO (Agency for Strategic Projects)
● State Secretariat of
Sustainable Urban Territorial and Urban Development
Public
Joint programming

392. T53 Action plan matrix
Instructions:
StrategyLine of actionTemporalityResponsibleCo-responsible
System of
action
Management
tool
Financial instruments
Regulatory
instruments
Land management
instruments
Timeline
1. Complete the following table with the information proposed in the "Guidelines for instruments" for the action lines
and strategies of the plan. Below is an example in red and below is a real example.
Initiatives / Lines of action
Short-t
ermMid-termLong-term
1
1.1 Urban
intervention in
the Glorieta
Antigua Torre
de Control.
Short-term
AGEPRO (Agency for Strategic
Projects)
- State Secretariat of
Sustainable Urban
Territorial Development
Public
Joint
programming
- Operational budgets of the agencies
involved
- Applicable federal funds and
programmes
- Cooperation for public works:
contribution for improvements
- Taxes and fee charges: real estate
property taxes
- Addit
ional construction rights:
changes in land use and optional land use " - Additional construction rights: changes in land use and optional land use " - Additional construction rights: changes in land use and optional land use
Changes in specific regulations
New rules, regulations, etc
- Payment of Building or Development Potential - Inclusionary Zoning
Starting in 2023 and finishing in 2025 (3 years)
T52 Governance Instruments Guide
5. As a team, propose the ideal system of action for the lines of action. Also, propose the responsible and co-responsible actors using the results
of the Participatory Prioritization Workshop (Activity 36).
TABLE D. Proposed Management Instruments for the Lines of Action
Strategy
Line of action
Responsible
Co-responsible
Accountable
Consulted or
Informed
Actuation
system
Management tool
Neighborhood
Center
(Nichupté
Bridge)
1.1 Urban
intervention in
the Glorieta
Antigua Torre
de Control.
AGEPRO (Agency for
Strategic Projects)
● State Secretariat of
Sustainable Urban
Territorial and Urban
Development
Public
Joint programming

393. T52 Governance Instruments Guide
5. As a team, propose the ideal system of action for the lines of action. Also, propose the responsible and co-responsible actors using the results
of the Participatory Prioritization Workshop (Activity 36).
TABLE D. Proposed Management Instruments for the Lines of Action
Strategy
Line of action
Responsible
Co-responsible
Accountable
Consulted or
Informed
Actuation
system
Management tool
Neighborhood
Center
(Nichupté
Bridge)
1.1 Urban
intervention in
the Glorieta
Antigua Torre
de Control.
AGEPRO (Agency for
Strategic Projects)
● State Secretariat of
Sustainable Urban
Territorial and Urban
Development
Public
Joint programming
T53 Action plan matrix
Instructions:1. Complete the following table with the information proposed in the "Guidelines for instruments" for the action lines
and strategies of the plan. Below is an example in red and below is a real example.
Example: Puente Nichupté Masterplan, México
T52 Governance Instruments Guide
5. As a team, propose the ideal system of action for the lines of action. Also, propose the responsible and co-responsible actors using the results
of the Participatory Prioritization Workshop (Activity 36).
TABLE D. Proposed Management Instruments for the Lines of Action
Strategy
Line of action
Responsible
Co-responsible
Accountable
Consulted or
Informed
Actuation
system
Management tool
Neighborhood
Center
(Nichupté
Bridge)
1.1 Urban
intervention in
the Glorieta
Antigua Torre
de Control.
AGEPRO (Agency for
Strategic Projects)
● State Secretariat of
Sustainable Urban
Territorial and Urban
Development
Public
Joint programming

394. T54 Monitoring and evaluation framework
Description
This tool guides the development of the indicator framework for the evaluation of the lines of action and
strategic projects.
Participants
This task is carried out by the technical team.
Section 1. Indicators and evaluation framework for objectives, strategies and lines of action
Instructions:
1. Review the framework of objectives, strategies, lines of action, goals and actions. Adjust the goals set if
necessary, taking into account the municipality's capacities for data collection, evaluation and monitoring.
Use global agendas and frameworks as a reference to link them to the objectives and goals. Some of these
are listed below:
a. New Urban Agenda
b. Sustainable Development Goals (Agenda 2030)
c. Voluntary National Reviews (VNRs) or Voluntary Local Reviews (VLRs)
d. Paris Agreement
e. Prosperous Cities Index (CPI)
f. Nationally Determined Contributions (NDCs)
g. National Action Plans (NAPs)
h. Sendai Framework
2. For each goal, define an indicator. These should be contextualized in a geographic space and time period.
In addition, they should be:
● Specific: detailed and concrete.
● Measurable: that it can be measured whether the goal has been met or not.
● Affordable: attainable.
● Relevant: contributing to priorities.
● Temporary: that has a period of time to be achieved.
For its definition, it can be based on national official statistics indicators, indicators generated by the
municipality itself or
indicators provided by organizations or sources external to the government, such as
academia, citizen observatories and other platforms.
Tip: Indicators from the global agendas, such as the SDGs, should also be used as a reference to measure and
compare progress. It is possible to define new indicators that allow for more specific monitoring of each target.
However, these must be feasible to measure by the municipality, in terms of data collection and management
capacities, otherwise they cannot be evaluated and it is more appropriate to choose another indicator. Reflection is
needed:
● Is the indicator a priority?
● Has it been measured before, and is a baseline available?
● What could be the strategy for data collection?
T54 Monitoring and evaluation framework
Section 1. Indicators and evaluation framework for objectives, strategies and lines of actions

395. T54 Monitoring and evaluation framework
Description
This tool guides the development of the indicator framework for the evaluation of the lines of action and
strategic projects.
Participants
This task is carried out by the technical team.
Section 1. Indicators and evaluation framework for objectives, strategies and lines of action
Instructions:
1. Review the framework of objectives, strategies, lines of action, goals and actions. Adjust the goals set if
necessary, taking into account the municipality's capacities for data collection, evaluation and monitoring.
Use global agendas and frameworks as a reference to link them to the objectives and goals. Some of these
are listed below:
a. New Urban Agenda
b. Sustainable Development Goals (Agenda 2030)
c. Voluntary National Reviews (VNRs) or Voluntary Local Reviews (VLRs)
d. Paris Agreement
e. Prosperous Cities Index (CPI)
f. Nationally Determined Contributions (NDCs)
g. National Action Plans (NAPs)
h. Sendai Framework
2. For each goal, define an indicator. These should be contextualized in a geographic space and time period.
In addition, they should be:
● Specific: detailed and concrete.
● Measurable: that it can be measured whether the goal has been met or not.
● Affordable: attainable.
● Relevant: contributing to priorities.
● Temporary: that has a period of time to be achieved.
For its definition, it can be based on national official statistics indicators, indicators generated by the
municipality itself or indicators provided by organizations or sources external to the government, such as
academia, citizen observatories and other platforms.
Tip: Indicators from the global agendas, such as the SDGs, should also be used as a reference to measure and
compare progress. It is possible to define new indicators that allow for more specific monitoring of each target.
However, these must be feasible to measure by the municipality, in terms of data collection and management
capacities, otherwise they cannot be evaluated and it is more appropriate to choose another indicator. Reflection is
needed:
● Is the indicator a priority?
● Has it been measured before, and is a baseline available?
● What could be the strategy for data collection?
T54 Monitoring and evaluation framework
Target
Strategy
Initiative Goa l Indicator Actions and projects
3. For each indicator, define the following criteria:
Criteria Description
Goal Goal associated with the initiative to be evaluated.
Indicator The selected indicator may be associated with the impact of the result as well as with
the process or management.
Unit of measure Unit in which the indicator is measured.
Indicator source Reference from where the indicator is obtained. It can be an institution or agency, as
well as an agenda or global framework.
Alignment with the SDGs If linked to any of the SDG indicators.
Institution in charge of data
collection
Responsible for the data collection for the measurement of the indicator. This may be
the municipality itself, a national government institution or another non-governmental
entity. It may also include the creation of a new body, such as a citizen observatory.
Methodology/ formula for
measuring the indicator
Formula or process by which the indicator is calculated.
Scale to location where it
will be evaluated
It can be of a specific sector of the city, municipal, state, regional, etc.
Baseline The baseline of the indicator before starting the implementation of the plan. This is
important to compare before and after and to measure progress and impact.
Monitoring period Periodicity with which the indicator is measured. It can be monthly, five-yearly,
annually, etc.
Expected trend The expected trend of the indicator once the course of action is achieved may be
upward, downward or remain the same.
Example:
Goal By 2030, 100% of the homes located in the area of influence of the Parque de la
Equidad will have adequate drinking water, sanitation and electricity coverage.
Indicator Inhabited private dwellings that have electricity, piped water from the public network
and drainage.
T54 Monitoring and evaluation framework
Criteria Description
Indicator

396. T54 Monitoring and evaluation framework
Unit of measure % of dwellings
Indicator source Agenda 2030 - SDG 1
Alignment with the SDGs SDG 1.4.1
Institution in charge of data
collection
National Institute of Statistics and Geography (INEGI) (Population and Housing
Census)
Methodology/formula for
measuring the indicator
=private inhabited dwellings with electricity, public water and sewerage/total dwellings
Scale to location where it
will be evaluated
Housing within the area of influence (5 blocks around) of the Parque de la Equidad.
Baseline According to the 2020 Census, there are 66,050 dwellings in the area of influence, of
which 57,728 have service coverage. Therefore, 87.40% of the total housing stock
has basic service coverage.
Monitoring period 5 years (National Census)
Expected trend Increase
T54 Monitoring and evaluation framework

397. T54 Monitoring and evaluation framework
Unit of measure % of dwellings
Indicator source Agenda 2030 - SDG 1
Alignment with the SDGs SDG 1.4.1
Institution in charge of data
collection
National Institute of Statistics and Geography (INEGI) (Population and Housing
Census)
Methodology/formula for
measuring the indicator
=private inhabited dwellings with electricity, public water and sewerage/total dwellings
Scale to location where it
will be evaluated
Housing within the area of influence (5 blocks around) of the Parque de la Equidad.
Baseline According to the 2020 Census, there are 66,050 dwellings in the area of influence, of
which 57,728 have service coverage. Therefore, 87.40% of the total housing stock
has basic service coverage.
Monitoring period 5 years (National Census)
Expected trend Increase
T54 Monitoring and evaluation framework
Section 2. Indicators for strategic projects
Instructions:
1. Review, according to the programming and strategic project sheets (project portfolio), the specific
objectives and components for each one of them, established in Block H Project Programming.
2. For each specific objective of each strategic project, define the set of indicators, using the above
framework (table). A basic template is included below. At least one indicator should be used for each type
of objective: technical, social and environmental/climate change.
PROJECT TITLE:: _____________________________________________________________________________
Specific objective
Indicator
Unit of measure
Indicator source
Alignment with the SDGs
Institution in charge of data
collection
Methodology/formula for
measuring the indicator
Scale to location where it
will be evaluated
Baseline
Monitoring period
Expected trend
T54 Monitoring and evaluation framework
Section 2. Indicators for strategic projects
PROJECT TITLE::______________________________________________________________________

398. T54 Monitoring and evaluation framework
Summary matrix of indicators
Instructions:
1. Organize all the indicators of the monitoring and evaluation framework, corresponding to the lines of action
and strategic projects, in a final matrix. Use tool H55 Indicator summary matrix.
Section 4. Monitoring and evaluation strategy
(Linked to Activity 47 Monitoring and Evaluation Strategy)
In addition to defining indicators with which to evaluate the progress of the plan and its strategic projects,
it is important to define a monitoring strategy, which establishes how, when, and who will have this
responsibility. This should also take into account the capacities of the municipality and the information
available.
Instructions:
1. Identify interested social groups for monitoring and follow-up, including NGOs, civil organizations,
observatories, community groups, or any social group that represents the people benefited by the plan's
actions and projects.
2. Based on the indicator frameworks developed in the previous steps, develop a roadmap for tracking
indicators within the monitoring and evaluation framework. This should also include the institution or area
in charge of monitoring each indicator.
3. Define a communication strategy, socialization and participation mechanisms for monitoring and
evaluation. This should include communicating in a transparent manner on the progress and evaluation of
the plan's implementation. It is important to involve citizens during this process and provide mechanisms
and information so that they can demand accountability from the responsible agencies.
Summary matrix of indicators
Section 4. Monitoring and evaluation strategy
(Linked to Activity 47 Monitoring and Evaluation Strategy)
T54 Monitoring and evaluation framework

399. T54 Monitoring and evaluation framework
Summary matrix of indicators
Instructions:
1. Organize all the indicators of the monitoring and evaluation framework, corresponding to the lines of action
and strategic projects, in a final matrix. Use tool H55 Indicator summary matrix.
Section 4. Monitoring and evaluation strategy
(Linked to Activity 47 Monitoring and Evaluation Strategy)
In addition to defining indicators with which to evaluate the progress of the plan and its strategic projects,
it is important to define a monitoring strategy, which establishes how, when, and who will have this
responsibility. This should also take into account the capacities of the municipality and the information
available.
Instructions:
1. Identify interested social groups for monitoring and follow-up, including NGOs, civil organizations,
observatories, community groups, or any social group that represents the people benefited by the plan's
actions and projects.
2. Based on the indicator frameworks developed in the previous steps, develop a roadmap for tracking
indicators within the monitoring and evaluation framework. This should also include the institution or area
in charge of monitoring each indicator.
3. Define a communication strategy, socialization and participation mechanisms for monitoring and
evaluation. This should include communicating in a transparent manner on the progress and evaluation of
the plan's implementation. It is important to involve citizens during this process and provide mechanisms
and information so that they can demand accountability from the responsible agencies.
T55 Indicator Summary Matrix
Instructions:
Strategy
Line of
Action
GoalIndicator
Unit of
measurement
Indicator
source
Alignment
with the
SDGs
Institution in
charge of data
collection
Methodology/Formu
la for measuring the
indicator
Scale to location
where to be
assessed
Baseline
Monitoring
period
Expected
trend
1. Organise all indicators of the in the following final matrix. Use the different tabs for action lines and strategic projects. An example is shown below in red
Monitoring and Evaluation Framework (Block J)
Line of Action
11.1
By 2030, 100% of the dwellings
located in the area of influence of
the Parque de la Equidad will have
adequate drinking water, sanitation
and electricity coverage.
Inhabited private dwellings
that have electricity, piped
water from the public
network and drainage.
% of dwellings
Agenda 2030 -
SDG 1
SDG 1.4.1
National Institute
of Statistics and
Geography
(INEGI)
(Population and
Housing Census).
*=private inhabited
dwelli
ngs with
electricity, mains
water and drainage/total number of dwellings
Housing within the area of influence (5
blocks around) of
the Parque de la
Equidad.
66,050 dwellings in the catchment area; 57,728 are
covered by
services. Result: 87.40 %
5 years (National Census)
Increase
T52 Governance Instruments Guide
5. As a team, propose the ideal system of action for the lines of action. Also, propose the responsible and co-responsible actors using the results
of the Participatory Prioritization Workshop (Activity 36).
TABLE D. Proposed Management Instruments for the Lines of Action
Strategy
Line of action
Responsible
Co-responsible
Accountable
Consulted or
Informed
Actuation
system
Management tool
Neighborhood
Center
(Nichupté
Bridge)
1.1 Urban
intervention in
the Glorieta
Antigua Torre
de Control.
AGEPRO (Agency for
Strategic Projects)
● State Secretariat of
Sustainable Urban
Territorial and Urban
Development
Public
Joint programming

400. T56 Resource Mobilisation Plan for implemen ParticipantsDescription This task is carried out by the technical team.
This comprehensive tool provides an end-to-end framework for resource mobilization during the implementation of
various projects and initiatives. It encompasses a multi-sheet Excel document that categorically outlines each element
of the resource landscape, from initial objectives and inventories to gap analyses and action plans. The tool covers a
broad scope, detailing resource types, quantities, origins, and eligibility requirements. It also provides timelines,
identi fies responsible parties, and proposes strategies for securing missing resources. The plan is further enhanced with
sections dedicated to stakeholder information, potential funding and support mechanisms, and a robust system for
ongoing monitoring and review. This is designed to facilitate better planning, e fficient mobilization, and e ffective
management of both internal and external resources, thus ensuring successful project implementation.
Objective
Scope
Duration
A brief statement about the purpose of the resource mobiliza ?on plan
What projects or ac ?vi?es does this plan cover?
The ?meline for the plan.

401. T57 Implementation W ork Plan
* The tool consists of 4 spr eadsheets
Description
Participants
Title of the pr oject/action line:
Tipo:
Responsible/corr esponsible body:
Estimated costs
Category:
Location:
This tool details the work plan for the plan implementation pr ocess. Individual str ategies ar e defined
for each of the pr ojects, including r esponsibilities, r esources required, dat es and timelines,
expected results, pr edictable costs or e xpenses and lik ely risks.
This task is carried out by the t echnical t eam.
........................................ ⬚ Project ⬚ Line of action ⬚ Other: ..........................
General: ........................................... ......................................
Activity:
Activity:
Activity:
Activity:
Activity:
Activity:
* Go t o spreadsheet 2. Implementation calendar
............................................
............................... .......................................
............................... .......................................
............................... .......................................
............................... .......................................
............................... .......................................
............................... .......................................
Section 1.
Start Date/ duration
Delivery Deadlines:
Milestones:
Likely risks:
..............
Individual pr oject/action line work plan
: ..............
...................................................
........................
...................................................
....
...................................................
....
...................................................
....
Quantity Concept/Name of e xpenditur e
.............. .....................................................................
.............. .....................................................................
.............. .....................................................................
Date:Activity: .............. .....................................................................
............... ..................................... .............. .....................................................................
Frequency: .................................. .............. .....................................................................
Date:Activity: .............. .....................................................................
............... ..................................... .............. .....................................................................
Frequency: ................................. . .................................................................... .
Date:Activity:
............... ..................................... Risk: Mitigation str ategy:
Frequency: .................................. ............................. ........................................................
Date:Activity: ............................. ........................................................
............... ..................................... ............................. ........................................................
Frequency: .................................. ............................. ........................................................
Date:Activity: ............................. ........................................................
............... ..................................... ............................. ........................................................
Frequency: .................................. ............................. ........................................................
1. Define the work plan strategy for each pr oject to be implemented. T o do so, first r eview the
activity on D and the
and then complete the following table.
2. Gather all the individual strategies together , grouping them and thus forming the implementation
work plan.
eveloping strategic pr oject worksheets (Activity 38) Action Plan (Activity
44)
Tip: Repeat this table for each pr oject or action line. T5 )eeGEaFk 6trateJ\
..........................................................................................................................................................................................
................................................................................................................................................................................
..........................................................................................................................................................................................
..........................................................................................................................................................................................
.........................................................................................
2. -mpp mr the following table with the lessons learned from the interaction with the different stakeholders to
Z[YirN[lir [li [ieTZ getefmpm[miZ erh tsZZmfpi jy[yYi tYsnig[Z tperZ erh tperrmrN tYsgiZZiZ
Extracted learning
>hat are the main lessons learned from
communication with the various stakeholders
involved in the plan or project&
Application strategy
/ow can these learnings be implemented in
future planning processes, plans or
projects&
Comments T5 )eeGEaFk 6trateJ\
..........................................................................................................................................................................................
................................................................................................................................................................................
..........................................................................................................................................................................................
..........................................................................................................................................................................................
.........................................................................................
2. -mpp mr the following table with the lessons learned from the interaction with the different stakeholders to
Z[YirN[lir [li [ieTZ getefmpm[miZ erh tsZZmfpi jy[yYi tYsnig[Z tperZ erh tperrmrN tYsgiZZiZ
Extracted learning
>hat are the main lessons learned from
communication with the various stakeholders
involved in the plan or project&
Application strategy
/ow can these learnings be implemented in
future planning processes, plans or
projects&
Comments

402. T58 Environmental and social impact control matrix
Description: The control matrix aims to observe the environmental and social risks and impacts of the project/program me , as well as to ensure that the
mitigation measures foreseen in the various plans and reports developed in the environmental and social strategy are implemented.
Participants: This document is prepared by the project manager and the preliminary technical team, to the extent possible, with the team in charge of
developing the environmental and social impact strategy.
Step 1. Complete the policy and legislative tracking matrix.
Instructions:
1. Complete the follow-up matrix on regulatory and legislative issues based on the following speci ficities:
Column name Content description
Phase Phase of the project/program me in or through which a certain requirement must be fulfilled (construction phase,
operation phase or construction and operation phase);
Name of requirement Briefly state the focus of the requirement;
International standard The rule or regulation in which the requirement originates (if the source refers to a national regulation, this column
will

remain empty and only the following column will be completed);
Legal and regulatory requirements The national standard or regulation in which the requirement originates (if the source refers to an international
standard, this column will remain empty);
Control or audit Institution or person checking or auditing, indicating who is responsible for ensuring compliance;

403. T58 Environmental and social impact control matrix
Operational risks Indicate and describe the operational risks associated with the requirement. This shall be a qualitative description of
the risk associated with non-compliance;
Environmental and social aspects: Environmental or social aspect to which the operational risk is related;
Compliance status: Compliance status (fully compliant, partially compliant or non- compliant); and
Remarks Space is left for comments/observations on the level of compliance or steps to be taken to achieve or maintain full
compliance.
Number Phase
Name of
requirement
International
standard
Description of legal
and regulatory
requirements
Control or
audit
Operational
risks
Environmental
and social
aspects or
components
Compliance
status
Remarks

404. T58 Environmental and social impact control matrix
Step 2. Complete the environmental and social impact monitoring matrix.
1. Fill out the following matrix based on the mitigation measures identi fied in the various processes described in the Environmental and Social Impact
Strategy.
Number Name Phase
Associated
impact
Indicator
Media
of veri fication
Frequency
Reviewing/audit
ing institution or
persons
Compliance
Statements
Results
Corrective
actions

405. T59 Feedback Strategy
Description
The purpose of this tool is to support the feedback and socialization strategy of the urban planning process,
by defining the different communicative actions during the plan implementation process.
Participant s
This plan is developed by the technical team and the implementation team. If there are implementing
partners in the participatory process (e.g., NGOs or community groups), they should be involved in the
development of this plan to provide input on their capacities.
Instructions
Section 1. Listing of all communication actions.
1. According to the socialization, feedback and learning strategy defined, complete the following table with all
the communication actions to be carried out that have been detected. While doing so, validate the information
of each activity with the Action Plan ( Activity 44 ) and the Work Plan ( Activity 50 ) to provide relevant inputs.
1. LIST OF COMMUNICATION ACTIONS
Tip: List all necessary communication actions previously identified.
Name: .......................................................
Date and time : .......................................................
Responsible: .................................................
Type of communication: ⬚ Public ⬚ Private
Audience: ⬚ Councils ⬚ Technical Experts ⬚ Community ⬚
General Public ⬚ Other Stakeholders:
.......................................
Name: .......................................................
Date and time : .......................................................
Responsible: .................................................
Type of communication: ⬚ Public ⬚ Private
Audience: ⬚ Councils ⬚ Technical Experts ⬚ Community ⬚
General Public ⬚ Other Stakeholders:
.......................................
Name: .......................................................
Date and time : .......................................................
Responsible: .................................................
Type of communication: ⬚ Public ⬚ Private
Audience: ⬚ Councils ⬚ Technical Experts ⬚ Community ⬚
General Public ⬚ Other Stakeholders:
.......................................
Name: .......................................................
Date and time : .......................................................
Responsible: .................................................
Type of communication: ⬚ Public ⬚ Private
Audience: ⬚ Councils ⬚ Technical Experts ⬚ Community ⬚
General Public ⬚ Other Stakeholders:
.......................................
Name: .......................................................
Date and time : .......................................................
Type of communication: ⬚ Public ⬚ Private

406. T59 Feedback Strategy
Responsible: ................................................. Audience: ⬚ Councils ⬚ Technical Experts ⬚ Community ⬚
General Public ⬚ Other Stakeholders:
.......................................
Name: .......................................................
Date and time : .......................................................
Responsible: .................................................
Type of communication: ⬚ Public ⬚ Private
Audience: ⬚ Councils ⬚ Technical Experts ⬚ Community ⬚
General Public ⬚ Other Stakeholders:
.......................................
Name: .......................................................
Date and time : .......................................................
Responsible: .................................................
Type of communication: ⬚ Public ⬚ Private ⬚ Public ⬚
Private
Audience: ⬚ Councils ⬚ Technical Experts ⬚ Community ⬚
General Public ⬚ Other Stakeholders:
.......................................
Name: .......................................................
Date and time : .......................................................
Responsible: .................................................
Type of communication: ⬚ Public ⬚ Private ⬚ Public ⬚
Private Audience: ⬚ Councils ⬚ Technical Experts ⬚ Community ⬚
General Public
⬚ Other Stakeholders:
.......................................
Socialization and communication strategy .
1. In accordance with the socialization, feedback and learning strategy, complete the following table for each
communication action of the implementation process that has been previously identified as necessary. While
doing so, validate the information for each activity with the Action Plan ( Activity 45 ) and the Implementation
Work Plan ( Activity 51 ) to provide relevant inputs.
Tip: Validate the activities with a communication expert, either external or within the team. Use this guide to get an
overview of the activities and the overall plan.
2. COMMUNICATION ACTION (name )................................................................................................
Tip: Repeat the following table for each communication action.
Target: ..................................................................
.................................................................................
Date and time:
........................................
..................
Responsible(s):
........................................
..............
Audience:
⬚ Councils ⬚ Technical Experts ⬚ Community ⬚ General Public ⬚ Other Stakeholders: ......................
T59 Feedback Strategy
Frequency: ⬚ One-time ⬚ Weekly ⬚ Monthly ⬚ Quarterly ⬚ Semi-annually ⬚ Yearly ⬚ Other: ...............................
Communication channel(s): ⬚ Face-to-face ⬚ Telephone ⬚ E-mail ⬚ Social networks
⬚ Posters ⬚ Web ⬚ Events ⬚ Radio ⬚ Audiovisual (TV) ⬚ Print (newspapers and
magazines) ⬚ Posters ⬚ Posters ⬚ Other(s): ....................................................................
Materials needed
List all materials needed
for the activity. Tip: think
about the materials to be
developed (graphics,
audios, social media
account/pages) .
1.
.........................................
.............................
2.
.........................................
..............................
3.
.........................................
..............................
4.
.........................................
..............................
5.
.........................................
..............................
6.
.........................................
..............................
Target audience: (key population groups or stakeholders)
............................................................................................................................................. .............................................................................................................................
Content
Define what information to convey to the audience and how to do it
..........................................................................................................................................................................................
..........................................................................................................................................................................................
..........................................................................................................................................................................................
..........................................................................................................................................................................................
................................................................................................................................................................................
..........................................................................................................................................................................................
..........................................................................................................................................................................................
.........................................................................................

407. T59 Feedback Strategy
Responsible: ................................................. Audience: ⬚ Councils ⬚ Technical Experts ⬚ Community ⬚
General Public ⬚ Other Stakeholders:
.......................................
Name: .......................................................
Date and time : .......................................................
Responsible: .................................................
Type of communication: ⬚ Public ⬚ Private
Audience: ⬚ Councils ⬚ Technical Experts ⬚ Community ⬚
General Public ⬚ Other Stakeholders:
.......................................
Name: .......................................................
Date and time : .......................................................
Responsible: .................................................
Type of communication: ⬚ Public ⬚ Private ⬚ Public ⬚
Private
Audience: ⬚ Councils ⬚ Technical Experts ⬚ Community ⬚
General Public ⬚ Other Stakeholders:
.......................................
Name: .......................................................
Date and time : .......................................................
Responsible: .................................................
Type of communication: ⬚ Public ⬚ Private ⬚ Public ⬚
Private
Audience: ⬚ Councils ⬚ Technical Experts ⬚ Community ⬚
General Public ⬚ Other Stakeholders:
.......................................
Socialization and communication strategy .
1. In accordance with the socialization, feedback and learning strategy, complete the following table for each
communication action of the implementation process that has been previously identified as necessary. While
doing so, validate the information for each activity with the Action Plan ( Activity 45 ) and the Implementation
Work Plan ( Activity 51 ) to provide relevant inputs.
Tip: Validate the activities with a communication expert, either external or within the team. Use this guide to get an
overview of the activities and the overall plan.
2. COMMUNICATION ACTION (name )................................................................................................
Tip: Repeat the following table for each communication action.
Target: ..................................................................
.................................................................................
Date and time:
........................................
..................
Responsible(s):
........................................
..............
Audience: ⬚ Councils ⬚ Technical Experts ⬚ Community ⬚ General Public ⬚ Other Stakeholders: ......................
T59 Feedback Strategy
Frequency: ⬚ One-time ⬚ Weekly ⬚ Monthly ⬚ Quarterly ⬚ Semi-annually ⬚ Yearly ⬚ Other: ...............................
Communication channel(s): ⬚ Face-to-face ⬚ Telephone ⬚ E-mail ⬚ Social networks
⬚ Posters ⬚ Web ⬚ Events ⬚ Radio ⬚ Audiovisual (TV) ⬚ Print (newspapers and
magazines) ⬚ Posters ⬚ Posters ⬚ Other(s): ....................................................................
Materials needed
List all materials needed
for the activity. Tip: think
about the materials to be
developed (graphics,
audios, social media
account/pages) .
1.
.........................................
.............................
2.
.........................................
..............................
3.
.........................................
..............................
4.
.........................................
..............................
5.
.........................................
..............................
6.
.........................................
..............................
Target audience: (key population groups or stakeholders)
.............................................................................................................................................
.............................................................................................................................
Content
Define what information to convey to the audience and how to do it
..........................................................................................................................................................................................
..........................................................................................................................................................................................
..........................................................................................................................................................................................
..........................................................................................................................................................................................
................................................................................................................................................................................
..........................................................................................................................................................................................
..........................................................................................................................................................................................
.........................................................................................

408. T59 Feedback Strategy
Section 3. Feedback Strategy
1. Once the different communication actions contemplated in section 1 and 2 have been carried out, it will be
essential to keep a record of the suggestions, concerns or opinions resulting from each communication action.
To this end, and in order to make strategic efforts to resolve these responses, complete the following table for
each response.
3. FEEDBACK (name )................................................................................................
Tip: Repeat the following table for each feedback received.
Prior communication action:
..............................................................................
..............................................................................
................
Date and time: ..........................................................
Name of issuer(s): ..........................................
Contact: ................................................................
Type of stakeholder: ⬚ Councils ⬚ Technical Experts ⬚ Community ⬚ General Public ⬚ Other
stakeholders :...............
Communication channel(s): ⬚ Face-to-face ⬚
Phone ⬚ Email ⬚ Social media ⬚ Web ⬚ Events
⬚ Other(s): ...................................................
Feedback content:
.......................................................................................................
.......................................................................................................
.............................................
.......................................................................................................
.......................................................................................................
.............................................
.......................................................................................................
.......................................................................................................
.............................................
.......................................................................................................
.......................................................................................................
............................................
Type of feedback:
⬚ Suggestion ⬚ Concern ⬚
Opinion ⬚ Complaint ⬚
Other(s):..........................................
Estimated response time: (if applicable)
..............................................................................
..................
Responsible(s) for response: (if applicable)
..............................................................................
.................
Strategic response: (if applicable)
Define what to respond to feedback in a strategic way that is aligned with the plan.
..........................................................................................................................................................................................
..........................................................................................................................................................................................
..........................................................................................................................................................................................
T59 Feedback Strategy
.......................................................................................................................................................................................... ................................................................................................................................................................................ .......................................................................................................................................................................................... .......................................................................................................................................................................................... .........................................................................................
2. Fill in the following table with the lessons learned from the interaction with the different stakeholders to
strengthen the team's capabilities and possible future projects, plans and planning processes.
Extracted learning
What are the main lessons learned from
communication with the various stakeholders
involved in the plan or project?
Application strategy
How can these learnings be implemented in
future planning processes, plans or
projects?
Comments

409. T59 Feedback Strategy
Section 3. Feedback Strategy
1. Once the different communication actions contemplated in section 1 and 2 have been carried out, it will be
essential to keep a record of the suggestions, concerns or opinions resulting from each communication action.
To this end, and in order to make strategic efforts to resolve these responses, complete the following table for
each response.
3. FEEDBACK (name )................................................................................................
Tip: Repeat the following table for each feedback received.
Prior communication action:
..............................................................................
..............................................................................
................
Date and time: ..........................................................
Name of issuer(s): ..........................................
Contact: ................................................................
Type of stakeholder: ⬚ Councils ⬚ Technical Experts ⬚ Community ⬚ General Public ⬚ Other
stakeholders :...............
Communication channel(s): ⬚ Face-to-face ⬚
Phone ⬚ Email ⬚ Social media ⬚ Web ⬚ Events
⬚ Other(s): ...................................................
Feedback content:
.......................................................................................................
.......................................................................................................
.............................................
.......................................................................................................
.......................................................................................................
.............................................
.......................................................................................................
.......................................................................................................
.............................................
.......................................................................................................
.......................................................................................................
............................................
Type of feedback: ⬚ Suggestion ⬚ Concern ⬚
Opinion ⬚ Complaint ⬚
Other(s):..........................................
Estimated response time: (if applicable)
..............................................................................
..................
Responsible(s) for response: (if applicable)
..............................................................................
.................
Strategic response: (if applicable)
Define what to respond to feedback in a strategic way that is aligned with the plan.
..........................................................................................................................................................................................
..........................................................................................................................................................................................
..........................................................................................................................................................................................
T59 Feedback Strategy
..........................................................................................................................................................................................
................................................................................................................................................................................
..........................................................................................................................................................................................
..........................................................................................................................................................................................
.........................................................................................
2. Fill in the following table with the lessons learned from the interaction with the different stakeholders to
strengthen the team's capabilities and possible future projects, plans and planning processes.
Extracted learning
What are the main lessons learned from
communication with the various stakeholders
involved in the plan or project?
Application strategy
How can these learnings be implemented in
future planning processes, plans or
projects?
Comments

410. T60 Meth odological Evaluation
Send to:
https://ourcityplans.unhabitat.org/contact
Send the methodological evaluation to the UN-Habitat Our City Plans team in order to reinforce the learning from the different experiences and, through collective knowledge, achieve a more complete and adjusted methodology in future editions. General comments on methodology
Insert comments, suggestions, adaptations and additio
ns that you consider relevant to this methodology.
Phase-BlockBlock NameBlock CommentsActivitiesActivities and associated tools comments
1. ASSESSMENT
AContextualisation
BProject Preparation
CParticipation Set-Up
CAnalysis & Diagnostic
E
Strategic Development
Plan
Insert comments, suggestions, adaptations and additions
that you consider relevant to this block.A1. Human and Physical Resources Review
A2. Legal Resources Review
A3. Financial Resources Review
A4. Scheduling the planning process
B5. Guiding Document
B6. Environmental and Social Development Impact Plan for the Planning
Process
B7. Resource Mobilisation and Project O ffice
C8. Participation and Committees Formation
C9. Participation Plan
C10. Communication Strategy
C11. Public Launch of the Planning Process
D12. Desk Research
D13. Field Research
D14. Analysis
D15. Analysis Validation and Diagnostic Workshop
D16. Diagnostic
E17. Strategic Visioning Workshop
E18. Monitoring and Evaluation Framework
E19. Spatialisation of the Strategic Vision
E20. Sustainable Development Structure
E21. Spatial Strategy
E22. Environmental and Social Impact Strategy for the City Plan
E23. Strategic and Catalytic Projects Workshop
E24. Pre-operationalisation Plan
Insert any comments, suggestions, adaptations and additio
ns that you consider relevant to this activity and the tools it contains.
T60 Methodological Evaluation

411. T60 Meth odological Evaluation
Send to:
https://ourcityplans.unhabitat.org/contact
Send the methodological evaluation to the UN-Habitat Our City Plans team in order to reinforce the learning from the different experiences and, through collective knowledge, achieve a more complete and adjusted methodology in future editions. General comments on methodology
Insert comments, suggestions, adaptations and additio
ns that you consider relevant to this methodology.
Phase-BlockBlock NameBlock CommentsActivitiesActivities and associated tools comments
2. PLAN
3. OPERATIONALISATION
FLand Management Plan
GNeighbourhood Plan
HProgramming
ILand Management
JFinancial Enablers
K
Governance & Legal
Enablers
LAction Plan
E25. Public Hearing
F26. Land Use and Regulatory Directives
F27. Sectoral Plan
F28. Land Development Strategy
F29. Public Hearing
G30. Neighbourhood Plan Preparation
G31. Detailed Data Gathering and Analysis
G32. Neighbourhood Planning Workshop
G33. Neighbourhood Plan and Design
G34. Neighbourhood Projects and Interventions
G35. Neighbourhood Public Hearing
H36. Project Prioritisation
H37. Project Programming and Preparation
H38. Project Programming Workshop
H39. Project Feasibility Study
I40. Land Administration and Information
I41. Land Rights
J42. Financial Mechanisms
J43. Capital Investment Plan
K44. Institutional Arrangement
K45. National and Sub-national Urban Legal Framework
L46. City Action Planning Workshop
L47. Public Hearing and Presentation of the Action Plan
M48. Accountability System
T60 Methodological Evaluation

412. T33 Project Prioritisation Template Prioritisation Template
Catalytic or strategic
projects
Linked
Goals
Linked
targets
Priority
Area
Cost
Time
Technical
feasibility
Urgency
Stakeholder
acceptability
Impact
Mainstreaming
potential
SCORE
RELATIVE
RANK
1
Highway construction
1, 3, 5
1.2,
3.3,
5.1
3
1
2
2
2
3
3
2
2
Church
2
2.1
1
3
3
3
1
2
1
1
3 4 5 6 7 8 9
10 T60 Meth odological Evaluation
Send to:
https://ourcityplans.unhabitat.org/contact
Send the methodological evaluation to the UN-Habitat Our City Plans team in order to reinforce the learning from the different experiences and, through collective knowledge, achieve a more complete and adjusted methodology in future editions. General comments on methodology
Insert comments, suggestions, adaptations and additio
ns that you consider relevant to this methodology.
Phase-BlockBlock NameBlock CommentsActivitiesActivities and associated tools comments
4. IMPLEMENTATION
M
Implementing
Mechanisms
NAccountability System
M49. Gestión de proyectos
M50. Plan de trabajo
M51. Implementación
N52. Monitoring and Evaluation
N53. Advocacy, Feedback and Learning Mechanisms
N54. Incremental Improvements
T60 Methodological Evaluation

413. T61 Risk response options
Descriptio n
This tool is used to prepare a checklist of possible risk response options based on prior identification of
hazards and their potential impacts, considering urban planning objectives and goals.
Participant s
This activity is carried out by the technical team, the advisory board, the board of directors and other
stakeholders.
Term Definition
Prospective management
Those actions focused on planning to avoid the occurrence of disasters in the
future.
Corrective management
Those actions focused on eliminating or reducing disaster risks that are already
present and must be reduced immediately.
Compensatory
management
Those actions focused on the capacity to respond to a disaster, including
preparedness and recovery actions.
Instructions
Formulate a long list of possible risk response options .
1. Identify the main hazards and the primary and secondary impacts. The application of T 17 Impact chain
diagram , H16 Participatory incremental mapping (PIM) and T20 Vulnerability assessment can facilitate
the identification of the different hazards.
2. Identify at least one possible option for disaster risk response. Disaster risk response options encompass a
wide number of possibilities including actions, policies, strategies and programs to increase adaptive
capacity through physical transformation/conservation of the built and natural environment and through
strengthening social and institutional response and capacities to cope with impacts.
3. Subsequently, the last column referring to the type of management, whether it is prospective corrective or
compensatory management, must be filled in. It is recommended that for each threat at least 1 response
option related to each type of management be included.

414. T61 Risk response options
Risk identified
Primary and
secondary
impacts
Risk response options
No.
Options
Type of
management
Drought Reduction of water
supply.
Increased health
risks due to lack of
water.
1.A Water management plan Prospective
1.B Infrastructure improvement and repair (e.g.,
reservoirs)
Prospective
1.C Water conservation and awareness programs. Prospective
1.D Rainwater harvesting Prospective
1.E Recharge of aquifers Prospective
1.F Expand or create new water reservoir capacity. Prospective
1.G Minimize system leakage and other water
losses (e.g. evaporation from surface tanks)
Corrective
1.H Have water pipes ready in case of drought
emergency.
Compensatory
Landslides
Destruction of
housing
Road obstruction
Destruction of
public and private
infrastructure.
2.A Add the topic of landslides to the disaster
prevention and risk reduction campaign.
Prospective
2.B Stone barriers adjusted to contour lines to
reduce landslides in at-risk highway areas.
Corrective
2.C Retention meshes in areas adjacent to
transportation routes in landslide/landslide risk
areas.
Corrective
2.D Have a civil protection team ready to attend to
the landslide/landslide area.
Compensatory

415. T61 Risk response options
Risk identified
Primary and
secondary
impacts
Risk response options
No.
Options
Type of
management
Drought Reduction of water
supply.
Increased health
risks due to lack of
water.
1.A Water management plan Prospective
1.B Infrastructure improvement and repair (e.g.,
reservoirs)
Prospective
1.C Water conservation and awareness programs. Prospective
1.D Rainwater harvesting Prospective
1.E Recharge of aquifers Prospective
1.F Expand or create new water reservoir capacity. Prospective
1.G Minimize system leakage and other water
losses (e.g. evaporation from surface tanks)
Corrective
1.H Have water pipes ready in case of drought
emergency.
Compensatory
Landslides
Destruction of
housing
Road obstruction
Destruction of
public and private
infrastructure.
2.A Add the topic of landslides to the disaster
prevention and risk reduction campaign.
Prospective
2.B Stone barriers adjusted to contour lines to
reduce landslides in at-risk highway areas.
Corrective
2.C Retention meshes in areas adjacent to
transportation routes in landslide/landslide risk
areas. Corrective
2.D Have a civil protection team ready to attend to
the landslide/landslide area.
Compensatory
T62 Resilience Initiatives for the City
Descriptio n
This tool defines the process of how, based on the identified risk response options and using a resilience
framework, specific resilience initiatives for the city can be developed.
Participant s
This activity is carried out by the technical team, the advisory board, the board of directors and other
stakeholders.
Step 1. Identification of sectors linked to the response options
1. Using as a baseline the results of the list elaborated in tool T61 Risk Response Options , we will start
with the categorization of these options through different sectors relevant to the city's development.
Sectors can be selected and defined according to the characteristics of the city and considering the
natural and climate risks in the city that had been previously identified.The following table shows an
example of possible sectors that can be used or adapted for categorization:
Sectors linked to natural hazards and their prevention
Construction and
housing
Energy
Mobility and
transportation
Waste Water Health
Employment and
livelihoods
Environment
Note: These sectors may be defined through participatory processes or they may be previously selected by the
technical team and subsequently validated through a participatory process.
2. Once the sectors have been identified, the T61 Risk Response Options , inputs are listed under each
of the selected sectors. The number of response options may vary between each selected sector.

416. T62 Resilience Initiatives for the City
Sectors
Construction and housing Mobility and transport Water
Infrastructure improvement and
repair (e.g., reservoirs)
Curved stone barriers for landslide
mitigation in hazardous highway areas
Water management plan
Add the topic of landslides to the
disaster prevention and risk
reduction campaign.
Retention meshes in areas adjacent to
transportation routes in landslide/landslide
risk areas.
Water conservation and awareness
programs.
Have a civil protection team ready
to attend to the landslide disaster
area.
Stone barriers adjusted to contour lines to
reduce landslides in at-risk highway areas.
Rainwater harvesting
Recharge of aquifers
Expand or create new water
reservoir capacity.
Have water pipes ready in case of
drought emergency.
Minimize system leakage and other
water losses (e.g. evaporation from
surface tanks)

417. T62 Resilience Initiatives for the City
Sectors
Construction and housing Mobility and transport Water
Infrastructure improvement and
repair (e.g., reservoirs)
Curved stone barriers for landslide
mitigation in hazardous highway areas
Water management plan
Add the topic of landslides to the
disaster prevention and risk
reduction campaign. Retention meshes in areas adjacent to
transportation routes in landslide/landslide
risk areas.
Water conservation and awareness
programs.
Have a civil protection team ready
to attend to the landslide disaster
area.
Stone barriers adjusted to contour lines to
reduce landslides in at-risk highway areas.
Rainwater harvesting
Recharge of aquifers
Expand or create new water
reservoir capacity.
Have water pipes ready in case of
drought emergency.
Minimize system leakage and other
water losses (e.g. evaporation from
surface tanks)
T62 Resilience Initiatives for the City
Step 2. Assessment of identified sectors linked to resilience components.
To obtain a comprehensive analysis of the identified sectors in terms of Disaster Risk Risk Reduction and
Climate Change (DRR & CC) a City Resilience Framework can be used. This framework is constituted by the
following components: policy and legislation, urban plans, institutional arrangements, finance and interventions.
3. For each identified sector, assess the degree of integration of Climate Change and Disaster Risk
elements in each component, weighting from 1 to 3 according to the following table:
Components Grade:1 Grade: 2 Grade: 3
Policy and
legislation
There are some policies,
strategies or ordinances
that regulate DRR & CC in
the sector, but they are
quite insufficient.
DRR & CC elements are
taken into account in the
sector, but relevant policies
and legislation need to be
improved.
There are policies and laws in place that
adequately regulate DRR & CC in this
sector.
Urban plans DRR and CC are not
sufficiently addressed in
the current urban policies
or development plan;
> There is currently no
urban planning for the city.
Existing urban plans
address CC & DRR in this
sector; however, they need
to be improved.
DRR & CC are sufficiently incorporated in
the city's main urban development plans.
Institutional
Arrangements
There is no department,
specialized institution or
focal person clearly
assigned to manage DRR
& CC within this sector
identified at the
municipal/local level.
One or more municipal
departments, specialized
institutions or contact
persons are responsible for
dealing with DRR & CC in
this sector, but with
insufficient capacity.
Roles/responsibilities of different
departments/institutions are clearly
defined to address DRR & CC in this
sector at the city level, with sufficient
capacity.
Finance There is very little budget
allocated to manage DRR
& CC in this sector at the
local level, and existing
financial mechanisms are
clearly insufficient.
The budget available to deal
with CC and DRR exists, but
it is not clear how it is spent
and the financial
mechanisms in place are still
weak.
The available budget allocated to DRR
and CC in this sector is sufficient and
there are adequate financial mechanisms in place.
Interventions Very little is currently being implemented to address DRR & CC in this sector.
There are few projects/interventions that address DRR & CC in this sector, but there is need for more.
There are sufficient/ appropriate projects/ interventions planned or underway to address DRR & CC in this sector.

418. T62 Resilience Initiatives for the City
The following example illustrates low performance in the "construction and housing" and "water” sectors. In the
construction and housing sector, deficiencies are observed in local policies and disaster risk reduction
regulations, along with insufficient attention in the urban plans to potential risk factors for the housing
infrastructure. Similarly, both the "finance" and "interventions" aspects score poorly for the construction and
housing sector. This suggests improving and developing financial tools and physical measures that enhance
disaster and climate change resilience within this sector.
The total points can be weighted to identify which sector needs more actions and prioritization. A lower score
represents a major need to incorporate Disaster Risk Reduction and Climate Change elements in the sector.
In this example, the construction and housing sector needs to implement more ambitious actions to increase
its overall resilience.
Sectors related to natural risks
and prevention
Components of the resilience framework
Policies
and
legislation
Urban
Plans
Institutional
Arrangements
Finance Interventions Total
Construction and housing 1 1 2 1 1 6
Water 2 1 2 2 1 8
Mobility and Transportation 3 3 2 2 2 12

419. T62 Resilience Initiatives for the City
The following example illustrates low performance in the "construction and housing" and "water” sectors. In the
construction and housing sector, deficiencies are observed in local policies and disaster risk reduction
regulations, along with insufficient attention in the urban plans to potential risk factors for the housing
infrastructure. Similarly, both the "finance" and "interventions" aspects score poorly for the construction and
housing sector. This suggests improving and developing financial tools and physical measures that enhance
disaster and climate change resilience within this sector.
The total points can be weighted to identify which sector needs more actions and prioritization. A lower score
represents a major need to incorporate Disaster Risk Reduction and Climate Change elements in the sector.
In this example, the construction and housing sector needs to implement more ambitious actions to increase
its overall resilience.
Sectors related to natural risks
and prevention
Components of the resilience framework
Policies
and
legislation
Urban
Plans
Institutional
Arrangements
Finance Interventions Total
Construction and housing 1 1 2 1 1 6
Water 2 1 2 2 1 8
Mobility and Transportation 3 3 2 2 2 12
T62 Resilience Initiatives for the City
Step 3. Generating resilience initiatives
4. The identified sectors can be used to create the initiatives (according to Activity 22 Formulation of
Strategies and Initiatives ), since they are used to link both the response options and those
components of the resilience framework evaluated with lower scores that need to be addressed. The
response options and relevant components to be addressed are taken up as final actions to be
implemented.
5. It should be noted that the process of creating the strategy is flexible, so it is not necessary to use all
the response options identified in the tool, and different components and response options can be
merged into a single action.
6. Finally, new actions based on the results of both, the risk response options and the resilience
framework, can be added, thus providing more comprehensive action lines. In further stages, the
prioritization of actions can be assessed based on specific criteria linked to their technical feasibility,
urgency, and cost.
Objective: City resilient to natural hazards
Strategy To strengthen urban resilience, guaranteeing the development and
protection of people, infrastructure, and economic activities through disaster
risk reduction and climate adaptation actions.
Initiatives (By Sector) Goal Actions
(Risk Response options + Resilience
Components)
Increase the resilience of urban
infrastructure and housing to
disasters and climate change
through urban public policy and
sustainable planning
(Construction and housing
sector).
By 2025, at least three
instruments in the
legislative and urban
planning framework will
include elements to
strengthen housing in the
face of climate change
and disaster risk.
1. Strengthen the issue of resilient housing
in the city's development plans.
2. Increase technical standards to create
buildings that are resilient to natural
hazards (e.g., landslides and high
temperatures).
3. Create a local disaster fund that
includes a process for mobilizing funds
for repairing the housing sector in case
of a disaster.
Strengthen water resilience in
areas with greater vulnerability to
drought risk (Water sector).
By 2030, there will be a
comprehensive and
zoned strategy to
increase water resilience
with a focus on
addressing drought
impacts.
1. Create a water management plan that
includes conservation and water use
awareness programs.
2. Implement a rainwater harvesting
program.
3. Have water pipes ready in case of
drought emergency.

420. T62 Resilience Initiatives for the City
4. Minimize system leakage and other
water losses (e.g. evaporation from
surface tanks)
To reduce the vulnerability of the
transportation and mobility
sector to disaster risks (Mobility
and transportation sector).
By 2040, 80% of the
areas identified with the
highest risk of landslides
will have protective
networks or barriers.
1. Activate a program for the
implementation of anti-landslide barriers
and networks on roads and highways
with high vulnerability to landslides.

421. T62 Resilience Initiatives for the City
4. Minimize system leakage and other
water losses (e.g. evaporation from
surface tanks)
To reduce the vulnerability of the
transportation and mobility
sector to disaster risks (Mobility
and transportation sector).
By 2040, 80% of the
areas identified with the
highest risk of landslides
will have protective
networks or barriers.
1. Activate a program for the
implementation of anti-landslide barriers
and networks on roads and highways
with high vulnerability to landslides.
T63 Land Strategies Guide
Description This tool guides the development of specific land strategies and corresponding initiatives
according to the definition of key territorial systems in the city.
Participants This activity is carried out by the technical team and validated with the advisory committee.
Results are also validated and complemented in a participatory activity with the broader community.
Instructions
Part 1. Territorial systems, land strategies and initiatives
1. Review the results from Block D Analysis and Diagnosis. According to the key thematic areas defined in the
identification of challenges and opportunities for the city, define the key terrritorial systems, such as:
a. Environmental System
b. Mobility System
c. Urban System
d. Economic-productive System
Tip: If Block E has been developed, also review the results from the Strategic Visioning Workshop (Activity 18),
Spatialisation of the Strategic Vision (Activity 19), Urban Development Structure (Activity 20) and Development Zones
(Activity 21). The key territorial systems should be linked to the Goals identified in the strategic vision.
The territorial systems will vary according to the context and characteristics of the city. For example, a city with high
cultural value such as historical centres, cultural heritage, etc. might consider adding a Cultural System; a
city that
presents high risk areas, might consider a Risk Reduction system.
2. Define goals for each of the systems, responding to the challenges identified.
3. Define specific spatial/territorial strategies for each of the systems, responding to the goals established.
Strategies are statements that are part of a roadmap that will contribute to achieve the defined goals.
These provide more details on how to develop each specific goal. The strategies must be comprehensive
and respond to the challenges and needs identified before, as well as be congruent with the municipality's
capacity for action.
Example: Aluminé, Argentina

422. T63 Land Strategies Guide

423. T63 Land Strategies Guide T63 Land Strategies Guide
4. Define specific initiatives for each of the strategies. These are more specific actions, projects, programs,
normative instruments that ground the strategies in a more limited territorial scope and purpose, in an
identified time bound.
5. Create a map for each of the systems, consolidating all the territorial strategies and initiatives.
Tip: See also T24 Strategy Formulation Guide from Formulation of Strategies and Initiatives (Activity 22) for more
references.
Example Les Cayes, Haiti
Environmental System
Mobility System

424. T63 Land Strategies Guide
Economic-productive System

425. T63 Land Strategies Guide
Economic-productive System
T63 Land Strategies Guide
Urban System

426. T63 Land Strategies Guide
6. Create a map that consolidates all the strategies and initiatives for all territorial systems. This represents the
territorial vision for the city.
Example Les Cayes, Haiti

427. T63 Land Strategies Guide
6. Create a map that consolidates all the strategies and initiatives for all territorial systems. This represents the
territorial vision for the city.
Example Les Cayes, Haiti
T63 Land Strategies Guide
Part 2. Urban Development Structure and Development Zones
Develop the following activities only if Block E Strategic Development and Spatial Plan has not been
developed.
1. Based on the Land Strategies developed, consolidate the new urban development structure of the city,
including the urban area, rural area, urban expansion and the new urban perimeter. Go to Urban
Development Structure (Activity 20) for the full guide and tool ( T28 Urban Development
Structure Guide ).
2. Identify development zones according to the vocational function of diverse sectors of the city. Go to
Development Zones (Activity 21) for the full guide and tool ( T29 Development Zones Guide ).

428. T64 Fundraising Database
Description
This table serves as the central repository for all potential and
existing partners. It's designed to capture all pertinent details, from
basic identification to partnership status, to give a 360-degree view
of each partner.
PartnerIDPartnerNamePartnerTypeWebsitePartnershipTypePartnershipStatus CountryRegionLastContactDateDescription
PotentialContribution
LastContactOutcome
T33 Project Prioritisation Template Prioritisation Template
Catalytic or strategic
projects
Linked
Goals
Linked
targets
Priority
Area
Cost
Time
Technical
feasibility
Urgency
Stakeholder
acceptability
Impact
Mainstreaming
potential
SCORE
RELATIVE
RANK
1
Highway construction
1, 3, 5
1.2,
3.3,
5.1
3
1
2
2
2
3
3
2
2
Church
2
2.1
1
3
3
3
1
2
1
1
3 4 5 6 7 8 9
10

429. T65 List of Official Aid to Development Sources
InstitutionIDInstitutionNameInstitutionTypeGeographicalFocusOverviewInstitutionLink
WBWorld BankMultilateralGlobal
The World Bank funds development
projects via traditional loans,
interest-free credits, and grant, to end
poverty and boost prosperity for the
poorest people. It offers support to
developing countries through policy
advice, research and analysis, and
technical assistance.
The World Bank invests an average of
$5 billion
in planning and implementing
lending projects on sustainable cities
and communities every year to help
cities meet the critical demands of urbanization.
IFCInternational Finance CorporationMultilateralGlobal
The International Finance Corporation
(IFC), a member of the World Bank
Group, improves the lives of people in
developing countries by investing in
private sector growth. It connects
economic development
with
humanitarian needs to create real
progress for the people and places that
need it most.
EIBEuropean Investment BankMultilateralEurope
The European Investment Bank is the
lending arm of the European Union, the
biggest multilateral financial institution
in the world and one of the largest
providers of climate finance. All the
projects it finances must be bankable.
But they also must comply with high
technical, e
nvironmental and social
standards.
h?ps://www.worldbank.
org/en/home
h?ps://www.ifc.org/en/
home
h?ps://www.eib.org/en
/index
T33 Project Prioritisation Template Prioritisation Template
Catalytic or strategic
projects
Linked
Goals
Linked
targets
Priority
Area
Cost
Time
Technical
feasibility
Urgency
Stakeholder
acceptability
Impact
Mainstreaming
potential
SCORE
RELATIVE
RANK
1
Highway construction
1, 3, 5
1.2,
3.3,
5.1
3
1
2
2
2
3
3
2
2
Church
2
2.1
1
3
3
3
1
2
1
1
3 4 5 6 7 8 9
10

430. T65 List of Official Aid to Development Sources
InstitutionIDInstitutionNameInstitutionTypeGeographicalFocusOverviewInstitutionLink
EBRD
European Bank for
Reconstruction and Development
MultilateralEurope, Aisa
Its operations span agribusiness,
infrastructure, transport and many other
sectors. All its activities will be aligned
with the Paris Agreement from the end
of 2022 and we plan to be a majority
green bank by 2025. Financial
investment projects are at the heart of
its work. It also provides business
advisory services and promote trade
finance a
nd loan syndications.
IDBInter-American Development BankMultilateral
Latin America and the
Caribbean
Through financial and technical support
for countries working to reduce poverty
and inequality, we help improve health
and education, and advance
infrastructure. Its aim is to achieve
development in a sustainable,
climate-friendly way. It provides loans,
grants, and technical assistance; and
conducts extensive r
esearch.
The IDB prioritizes social inclusion and
equality; productivity and innovation;
and regional economic integration in its
development work across Latin
America and the Caribbean.
AfDBAfrican Development BankMultilateralAfrica
The overarching objective of the African
Development Bank (AfDB) Group is to
spur sustainable economic
development and social progress in its
regional member countries (RMCs),
thus con
tributing to poverty reduction.
h?ps://www.ebrd.com/
home
h?ps://www.iadb.org/e
n/
h?ps://www.afdb.org/e
n
T33 Project Prioritisation Template Prioritisation Template
Catalytic or strategic
projects
Linked
Goals
Linked
targets
Priority
Area
Cost
Time
Technical
feasibility
Urgency
Stakeholder
acceptability
Impact
Mainstreaming
potential
SCORE
RELATIVE
RANK
1
Highway construction
1, 3, 5
1.2,
3.3,
5.1
3
1
2
2
2
3
3
2
2
Church
2
2.1
1
3
3
3
1
2
1
1
3 4 5 6 7 8 9
10

431. T65 List of Official Aid to Development Sources
InstitutionIDInstitutionNameInstitutionTypeGeographicalFocusOverviewInstitutionLink
UNCDF
United Nations Capital
Development Fund
MultilateralLDCs
The UN Capital Development Fund was
created in 1966 by the UN General
Assembly. It is an autonomous,
voluntarily funded UN organization,
affiliated with the UN Development
Programme. UNCDF receives
contributions from member states and
international development partners. The
financial architecture of UNCDF is
comprised of core voluntary
contributions, flexib
le non-core funding,
and earmarked funds.
ADBAsian Development BankMultilateralAsia
The Asian Development Bank (ADB) is
committed to achieving a prosperous,
inclusive, resilient, and sustainable Asia
and the Pacific, while sustaining its
efforts to eradicate extreme poverty. It
assists its members and partners by
providing loans, technical assistance,
grants, and equity investments to
promote social and economic
d
evelopment.

h?ps://www.uncdf.org/
h?ps://www.adb.org/#
T33 Project Prioritisation Template Prioritisation Template
Catalytic or strategic
projects
Linked
Goals
Linked
targets
Priority
Area
Cost
Time
Technical
feasibility
Urgency
Stakeholder
acceptability
Impact
Mainstreaming
potential
SCORE
RELATIVE
RANK
1
Highway construction
1, 3, 5
1.2,
3.3,
5.1
3
1
2
2
2
3
3
2
2
Church
2
2.1
1
3
3
3
1
2
1
1
3 4 5 6 7 8 9
10

432. T65 List of Official Aid to Development Sources
InstitutionIDInstitutionNameInstitutionTypeGeographicalFocusOverviewInstitutionLink
GEFGlobal Environment FacilityMultilateralGlobal
GEF funding is provided by participating
donor countries and made available to
developing countries and countries with
economies in transition to meet the
objectives of international
environmental conventions and
agreements. In most cases, the GEF
provides funding to support
government projects and programs.
Governments decide on the executing
agency (governmen
tal institutions, civil
society organizations, private sector
companies, research institutions).
USAID
United States Agency for
International Development
BilateralGlobal
On behalf of the American people,
USAID promotes and demonstrates
democratic values abroad, and advance
a free, peaceful, and prosperous world.
In support of America's foreign policy,
USAID leads the U.S. Government's
international development
and disaster
assistance through partnerships and
investments that save lives, reduce
poverty, strengthen democratic
governance, and help people emerge
from humanitarian crises and progress
beyond assistance.
FCDO
United Kingdom Foreign,
Commonwealth & Development
Office, International Development
Funding
BilateralGlobal
It pursues national interests and those
of British citizens, safeguard the UK’s
security, defend
UK's values, reduce
poverty and tackle global challenges
with international partners.
h?ps://www.thegef.org/
h?ps://www.usaid.gov/
h?ps://www.gov.uk/gov
ernment/organisa?ons/f
oreign-commonwealth-
development-office
T33 Project Prioritisation Template Prioritisation Template
Catalytic or strategic
projects
Linked
Goals
Linked
targets
Priority
Area
Cost
Time
Technical
feasibility
Urgency
Stakeholder
acceptability
Impact
Mainstreaming
potential
SCORE
RELATIVE
RANK
1
Highway construction
1, 3, 5
1.2,
3.3,
5.1
3
1
2
2
2
3
3
2
2
Church
2
2.1
1
3
3
3
1
2
1
1
3 4 5 6 7 8 9
10

433. T65 List of Official Aid to Development Sources
InstitutionIDInstitutionNameInstitutionTypeGeographicalFocusOverviewInstitutionLink
KfWGerman Development BankBilateralGlobal
KfW Development Bank has been
helping the German Federal
Government to finance and support
programmes and projects that mainly
involve public sector players in
developing countries and emerging
economies – from their conception and
execution to monitoring their success.
Its goal is to help its partner countries
fight poverty, maintain peace, protect
both the environment an
d the climate
and shape globalisation in an
appropriate way.
SDC
Swiss Agency for Development
and Cooperation
Bilateral
Asia, Africa, Eastern
Europe
The Swiss Agency for Development and
Cooperation (SDC) is the agency for
international cooperation of the Federal
Department of Foreign Affairs (FDFA).
The SDC is responsible for the overall
coordination with other federal
authorities of development cooperation
and coop
eration with Eastern Europe as
well as for humanitarian aid delivered
by the Swiss Confederation.
DFAT
Australian Department of Foreign
Affairs and Trade
BilateralPacific
The Department of Foreign Affairs and
Trade (DFAT) works with international
partners and other countries to tackle
global challenges, increase trade and
investment opportunities, protect
international rules, keep our region
stable and help Austr
alians overseas.
h?ps://www.kfw-entwic
klungsbank.de/Interna?
onal-financing/KfW-Dev
elopment-Bank/Tasks-an
d-goals/
h?ps://www.fdfa.admin
.ch/sdc#
h?ps://www.dfat.gov.au
/
T33 Project Prioritisation Template Prioritisation Template
Catalytic or strategic
projects
Linked
Goals
Linked
targets
Priority
Area
Cost
Time
Technical
feasibility
Urgency
Stakeholder
acceptability
Impact
Mainstreaming
potential
SCORE
RELATIVE
RANK
1
Highway construction
1, 3, 5
1.2,
3.3,
5.1
3
1
2
2
2
3
3
2
2
Church
2
2.1
1
3
3
3
1
2
1
1
3 4 5 6 7 8 9
10

434. T65 List of Official Aid to Development Sources
InstitutionIDInstitutionNameInstitutionTypeGeographicalFocusOverviewInstitutionLink
JICA
Japan International Cooperation
Agency
BilateralGlobal
JICA’s cooperation strategies (20) for
global issues aiming to show
development impact / outcome for
priority issues with “Cluster Strategy”,
and to maximize development impacts
/ outcome by proactively working with
partner governments and variety of
actors.
CIDA
Canadian International
Development Agency
Bilateral
AFD
Agence Française de
Développement
BilateralGl
obal
The Agence Française de
Développement (AFD) Group funds,
supports and accelerates the transition
to a fairer and more sustainable world.
Focusing on climate, biodiversity,
peace, education, urban development,
health and governance, the teams carry
out more than 4,200 projects in France’s
overseas departments and territories
and another 150 countries.
NORAD
Norwegian Agency for
Development Cooperation
Bilateral
Asia,
Africa, Latin
America
Norad - the Norwegian Agency for
Development Cooperation - is a
professional body under the Ministry of
Foreign Affairs (MFA). Together with
partners and on behalf of Norway,
Norad strives for a greener future in a
world without poverty. By way of
knowledge and cooperation, it ensures
that the funds of Norwegian
development aid contribute to global
development.
h?ps://www.jica.go.jp/e
nglis
h/
h?p://www.acdi-cida.gc
.ca/
h?ps://www.afd.fr/en
h?ps://www.norad.no/e
n/front/
T33 Project Prioritisation Template Prioritisation Template
Catalytic or strategic
projects
Linked
Goals
Linked
targets
Priority
Area
Cost
Time
Technical
feasibility
Urgency
Stakeholder
acceptability
Impact
Mainstreaming
potential
SCORE
RELATIVE
RANK
1
Highway construction
1, 3, 5
1.2,
3.3,
5.1
3
1
2
2
2
3
3
2
2
Church
2
2.1
1
3
3
3
1
2
1
1
3 4 5 6 7 8 9
10

435. T33 Project Prioritisation Template Prioritisation Template
Catalytic or strategic
projects
Linked
Goals
Linked
targets
Priority
Area
Cost
Time
Technical
feasibility
Urgency
Stakeholder
acceptability
Impact
Mainstreaming
potential
SCORE
RELATIVE
RANK
1
Highway construction
1, 3, 5
1.2,
3.3,
5.1
3
1
2
2
2
3
3
2
2
Church
2
2.1
1
3
3
3
1
2
1
1
3 4 5 6 7 8 9
10
T65 List of Official Aid to Development Sources
InstitutionIDInstitutionNameInstitutionTypeGeographicalFocusOverviewInstitutionLink
SIDA
Swedish International
Development Cooperation Agency
Bilateral
Africa, Asia, Europe
and Latin America
Sida – the Swedish International
Development Cooperation Agency – is
a government agency. Its mission is
part of the national policy for global
development and we strive to reduce
world poverty. Sida’s activities are
funded through Swedish tax revenue.
AFAdaptation FundMultilateralGlobal
With over US$ 850 millio
n allocated, the
Adaptation Fund gives developing
countries full ownership of adaptation
projects, from planning through
implementation, while ensuring
monitoring and transparency at every
step.
CIFClimate Investment FundsMultilateralGlobal
Climate Investment Funds comprises
two funds, the Clean Technology Fund
and the Strategic Climate Fund. The
Clean Technology Fund provides new
large-scale financial resourc
es to invest
in clean technology projects in
developing countries, which contribute
to the demonstration, deployment, and
transfer of low-carbon technologies
with a significant potential for long-term
greenhouse gas emissions savings.
h?ps://www.sida.se/en
h?ps://www.cif.org/
h?ps://www.adapta?on
-fund.org/

436. T33 Project Prioritisation Template Prioritisation Template
Catalytic or strategic
projects
Linked
Goals
Linked
targets
Priority
Area
Cost
Time
Technical
feasibility
Urgency
Stakeholder
acceptability
Impact
Mainstreaming
potential
SCORE
RELATIVE
RANK
1
Highway construction
1, 3, 5
1.2,
3.3,
5.1
3
1
2
2
2
3
3
2
2
Church
2
2.1
1
3
3
3
1
2
1
1
3 4 5 6 7 8 9
10
T65 List of Official Aid to Development Sources
InstitutionIDInstitutionNameInstitutionTypeGeographicalFocusOverviewInstitutionLink
GCFGreen Climate FundMultilateralGlobal
The Green Climate Fund (GCF) – a
critical element of the historic Paris
Agreement - is the world’s largest
climate fund, mandated to support
developing countries raise and realize
their Nationally Determined
Contributions (NDC) ambitions towards
low-emissions, climate-resilient
pathways. It can structure its financial
support through a flexible combination
of grant, conces
sional debt, guarantees
or equity instruments to leverage
blended finance and crowd-in private
investment for climate action in
developing countries.
CAFCorporación Andina de FomentoMultilateral
Latin America and the
Caribbean
CAF is a development bank committed
to improving the quality of life for all
Latin Americans and Caribbeans. Their
actions promote sustainable
development and regional integration.
We aim
to be the green and blue bank,
and the one responsible for the
economic and social reactivation of the
region.
JBIC
Japan Bank for International
Cooperation
BilateralGlobal
JBIC is a policy-based financial
institution of Japan, and conducts
lending, investment and guarantee
operations while complementing the
private sector financial institutions.
h?ps://www.greenclima
te.fund/
h?ps://www.caf.com/
h?ps://www.jbic.go.jp/
e
n

437. T65 List of Official Aid to Development Sources
InstitutionIDInstitutionNameInstitutionTypeGeographicalFocusOverviewInstitutionLink
AECID
Agencia Española para la
Cooperación y el Desarrollo
BilateralGlobal
The Spanish Agency for International
Development Cooperation (AECID) is
the central organisation that manages
Spanish Cooperation, dedicated to the
fight against poverty and to sustainable
human development. The AECID is
attached to the Ministry of Foreign
Affairs and Cooperation through the
Office of the Secretary of State for
International
Cooperation and for Latin
America.
AICS
Agenzia Italiana per la
Cooperazione allo Sviluppo
BilateralGlobal
AICS - the Italian Agency for
Development Cooperation - is one of
key innovations established by the
Italian law on international cooperation.
The Agency began operating in January
2016, with the aim of aligning Italy with
its principal European and global
partners in the endeavor of
development.
h?ps://www.aec
id.es
h?ps://www.aics.gov.it
T33 Project Prioritisation Template Prioritisation Template
Catalytic or strategic
projects
Linked
Goals
Linked
targets
Priority
Area
Cost
Time
Technical
feasibility
Urgency
Stakeholder
acceptability
Impact
Mainstreaming
potential
SCORE
RELATIVE
RANK
1
Highway construction
1, 3, 5
1.2,
3.3,
5.1
3
1
2
2
2
3
3
2
2
Church
2
2.1
1
3
3
3
1
2
1
1
3 4 5 6 7 8 9
10

438. T66 Environmental and Social Impact
Assessment (ESIA) Template
Description The Environmental and Social Impact Assessment (ESIA) is a comprehensive document that
assesses and evaluates the potential environmental and social impacts of a proposed project, which
involves physical intervention and transformation, and consequently, can trigger high levels of environmental
and social risks.
Participants This activity is carried out by the technical team, with strong support from environmental
engineers, the planning and environmental ministries.
Instructions
1. EXECUTIVE SUMMARY
Note 1: This is a non-technical executive summary, which includes the main content of the ESIA in a language that is easy
to understand by different audiences, especially community stakeholders.
The executive summary should include:
1. The main characteristics of the project/programme, for construction and operation phases.
2. Setting the Area of Influence of the project/programme and the results of the environmental and social baseline
studies.
3. The findings of the impact assessment, and proposed mitigation measures.
4. Description of the process of stakeholder engagement.
2. POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK
2.1 Institutional Environmental and Social Policies
Note 2: This section should be focused on the environmental and socio-environmental regulation.
Note 3: Make a reference in case Un-Habitat’s, Financial Institutions’ or donors’ standards are applicable to the project.
Institution/
Organization
Name/Number of the
Standards
Applicability to the
Project/Programme
How this is addressed
in the ESIA

439. T66 Environmental and Social Impact
Assessment (ESIA) Template
2.2 Policy and Legal Framework
N ote 4: Is there an Environmental Law or Act in the country? Is there a regulatory framework in which pollution or
emission of pollutants are addressed? Complete this section analyzing existing applicable laws and rules, International
Conventions, Treaties and Agreements, and national and international standards and guidelines
Complete the table with the following information:
1. The number, name and the year in which the regulatory body was enacted.
2. A brief description, with the topics or issues addressed in the regulatory body.
3. This is the key information in this section: how does it apply and how will the topics or issues included in the
regulatory body be considered in the ESIA.
3. PROJECT/PROGRAMME DESCRIPTION AND ALTERNATIVE SELECTION
3.1 General Overview
Note 5: In this section a detailed description of the project/programme should be made. The final aim of this description is
to identify the source of impacts: where, how and when they could occur.
Note 6: In this section, describe:
1. The schedule of the project/programme, by days/months, detail the duration of the different activities within the
phases of construction and operation; and
2. The budget, with as much detail as possible.
Note 7: In this section, present:
1. Location of the project/programme, including country, region, municipality and neighbourhood; and
2. Including overview maps of the project/programme and the project/programme area.
# Proclamation/
Regulation
Brief Description Applicability to this
Project/Programme
1
2
3
3.2 Project/Programme Location

440. T66 Environmental and Social Impact
Assessment (ESIA) Template
3.3 Description of the Project’s/Programme’s Physical Components and Structures
Note 8: In this section, present:
1. Temporary structures of the project/programme (those that are part of the construction phase);
2. Permanent structures of the project/programme (those that are part of the operation phase); and
3. Including figures with the project’s/programme’s layout.
Note 9: Activities for the construction and operation phases include, but are not limited to:
● Storage of materials;
● Provision of basic supplies;
● Provision of basic utilities;
● Machinery or equipment to be used;
● Estimation of emissions;
● Waste generation; and
● Vehicular flow associated.
4. BASELINE STUDIES
4.1 Setting the Study Limits
1. Identifying and justifying the Area of Influence.
2. Including information about political/administrative division.
4.2 Methodology and Objectives
Including a general overview and specificities for each dimension or aspects.
5. IMPACT AND RISK ASSESSMENT
5.1 Impact and Risk Assessment Methodology
5.2 Impact and Risk Identification and Assessment
Include for each project/programme phase relevant maps, aerial photos, satellite images in proper scale clearly indicating
the location of sources of Adverse Impacts, the spatial and temporal distribution of such impacts and with reference to
the Description of the Surrounding Environment, the components that are likely to be impacted and the nature of the
impacts.
3.4 Description of the Project’s/Programme’s Activities

441. T66 Environmental and Social Impact
Assessment (ESIA) Template
3.3 Description of the Project’s/Programme’s Physical Components and Structures
Note 8: In this section, present:
1. Temporary structures of the project/programme (those that are part of the construction phase);
2. Permanent structures of the project/programme (those that are part of the operation phase); and
3. Including figures with the project’s/programme’s layout.
Note 9: Activities for the construction and operation phases include, but are not limited to:
● Storage of materials;
● Provision of basic supplies;
● Provision of basic utilities;
● Machinery or equipment to be used;
● Estimation of emissions;
● Waste generation; and
● Vehicular flow associated.
4. BASELINE STUDIES
4.1 Setting the Study Limits
1. Identifying and justifying the Area of Influence.
2. Including information about political/administrative division.
4.2 Methodology and Objectives
Including a general overview and specificities for each dimension or aspects.
5. IMPACT AND RISK ASSESSMENT
5.1 Impact and Risk Assessment Methodology
5.2 Impact and Risk Identification and Assessment
Include for each project/programme phase relevant maps, aerial photos, satellite images in proper scale clearly indicating
the location of sources of Adverse Impacts, the spatial and temporal distribution of such impacts and with reference to
the Description of the Surrounding Environment, the components that are likely to be impacted and the nature of the
impacts.
3.4 Description of the Project’s/Programme’s Activities
T66 Environmental and Social Impact
Assessment (ESIA) Template
6. ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN
6.1 Content of Each Measure
Note 10 : The ESMP is formed by measures that address all environmental and social impacts derived from the Impact
and Risk Assessment. Aim of the ESMP is to define appropriate measures to mitigate the identified and assessed
impacts. As part of the ESMP, a plan for monitoring the environmental and social performance of the project/programme,
which ensures that measures are being implemented as planned.
Note 11 : Complete the following table for each measure that is part of the ESMP.
6.2 Monitoring
Note 12 : The Management Plan should include the monitoring of the project/programme during the implementation
phase. Monitoring is aimed at: observing that environmental and social risks and impacts of the project/programme,
ensuring compliance with the regulatory framework and ensuring that the Management Plan is implemented and working
according to plan.
Environmental or social aspect
affected by the impact
(Aspects that were considered in the Baseline studies)
Associated impact (Identified and assessed in the chapter below)
Project/programme phase (Construction or operation)
Type of measure (Minimization, mitigation or compensation)
Name of the measure
Objective
Description
Location for the implementation (Project/programme area, area of influence or other)
Method of implementation
Timeframe (Construction or operation; days/months/years)
Monitoring Indicator: Means of verification: Frequency:

442. T66 Environmental and Social Impact
Assessment (ESIA) Template
Type, scope and frequency of the monitoring plan should be planned accordingly to the magnitude of the
project’s/programme’s risks and impacts.
The Monitoring plan should include, for every measure (measure defined to address the assessed impacts) a description
of:
1. The monitoring indicators;
2. The frequency of the monitoring;
3. Monitoring roles and responsibilities; and
4. Means of verification.
7. PUBLIC CONSULTATION AND DISCLOSURE
7.1 Approach
Note 13: In this section include a description of the main topics and issues discussed during the stakeholder engagement
process and how these were incorporated into the ESIA process.
Note 14: Describe the strategy used for engaging stakeholders, referring to the Stakeholder Engagement Plan defined in
the Safeguard Scoping Report. This section should be a brief description of the actual implementation of the Plan:
1. How was implemented the during the Screening, Scoping and ESIA phase;
2. What kind of activities were implemented; and
3. Who participate in the activities?
7.2 Summary of Consultations and Activities Undertaken
Note 15: Complete the following table, describing each of the engagement activities implemented. There should be one
table for each of the phases: screening, scoping and ESIA.
Additionally, attach as annexes of this section all Minutes of meetings, pictures, audios and other materials resulting from
engagement activities with stakeholders (including authorities at
the national and local level, communities, interested
parties, etc.)
Date Stakeholders Location Key topics discussed

443. T66 Environmental and Social Impact
Assessment (ESIA) Template
Type, scope and frequency of the monitoring plan should be planned accordingly to the magnitude of the
project’s/programme’s risks and impacts.
The Monitoring plan should include, for every measure (measure defined to address the assessed impacts) a description
of:
1. The monitoring indicators;
2. The frequency of the monitoring;
3. Monitoring roles and responsibilities; and
4. Means of verification.
7. PUBLIC CONSULTATION AND DISCLOSURE
7.1 Approach
Note 13: In this section include a description of the main topics and issues discussed during the stakeholder engagement
process and how these were incorporated into the ESIA process.
Note 14: Describe the strategy used for engaging stakeholders, referring to the Stakeholder Engagement Plan defined in
the Safeguard Scoping Report. This section should be a brief description of the actual implementation of the Plan:
1. How was implemented the during the Screening, Scoping and ESIA phase;
2. What kind of activities were implemented; and
3. Who participate in the activities?
7.2 Summary of Consultations and Activities Undertaken
Note 15: Complete the following table, describing each of the engagement activities implemented. There should be one
table for each of the phases: screening, scoping and ESIA.
Additionally, attach as annexes of this section all Minutes of meetings, pictures, audios and other materials resulting from
engagement activities with stakeholders (including authorities at the national and local level, communities, interested
parties, etc.)
Date Stakeholders Location Key topics discussed
T66 Environmental and Social Impact
Assessment (ESIA) Template
7.3 Results of Consultations
Note 16: Complete the following table, listing the Question/observation/Comment received, the engagement activity (in
which activity, when) and detailing how the Question/observation/ Comment is addressed in the ESIA.
It is important to mention that this table is the core of this chapter, as it shows the actual participation of the stakeholders.
7.4 Further Activities
Note 17: Describe planned activities for engaging stakeholders when the Environmental License is granted, that is, during
construction and operation.
Question/observation/
Comment
Activity in which it was
presented
How it was addressed on the
ESIA

444. T68 Urban Development Directives Guide
Description
This tool guides the definition of urban development directives that should be established for specific sector
of the city, according to concrete objectives, or across the city based on thematic areas.
Participants
This activity is carried out by the technical team and validated by the advisory board.
Instructions:
1. Identify specific sectors of the city in which more concrete urban development or design guidelines should
be established. These might apply to strategies defined in Land Strategies (Activity 26), for example: new
economic development centers, areas that will be strategically densified, environmentally protected areas,
etc. Likewise, instead of applying directives to specific sectors, these can be developed across the city for
concrete sectors (e.g. mobility, basic services, etc.). For example, street design guidelines, access to public
spaces, etc.
2. Review the table below and select the themes that need to be developed in specific directives, according
to the context. These will complement the indicadors defined previously for each of land use established.
Themes for urban development and design standards and guidelines
Number of floors and
building height
It indicates the possibility of verticalization of the
land and establishes the maximum number
of floors and the maximum height of buildings. This index is useful to preserve a qualitative
urban landscape and a coherent image of the city. It is possible to have both or only one of
the two.
Construction removal It refers to the minimum distance between buildings and the perimeter of the plot. It is not
always necessary, but it is a great tool to ensure buffer zones in specific areas, such as
coastal areas, riverbanks or near airports.
Facade detail code It provides specific guidelines for the design of the building façade or any architectural
requirements, in order to integrate the building into the urban landscape or preserve any
cultural or historical style and traditions of the context (e.g. color code for the building,
dimensions and typologies of openings, protruding elements, signs and advertisements,
façade vegetation, lighting, decoration, etc.).
Sidewalks and pedestrian spaces
Different strips can be established within the sidewalk and specific measurements depending
on the context. Examples:
● Facade strip: area adjacent to the facade, where the access to the building is
located, as well as the possible commercial use or the incorporation of furniture.
● Pedestrian circulation strip: area free of elements and obstacles.
● Urban furniture and vegetation strip: area destined for furniture such as benches,
garbage cans, playground furniture, etc., as well as for garden space and/or trees in
flowerbeds.
● Pedestrian ramps: a maximum slope of 8% is recommended.
● Extension of sidewalks: when there is a parking lane, the sidewalk should be
extended in the shape of an ear.

445. T68 Urban Development Directives Guide
● Podotactile guides
Public space
equipment
Guidelines for basic street furniture (benches, bicycle racks, bollards), recreational furniture,
lighting, public transportation stops, urban landmarks.
Urban vegetation Guide the integration of vegetation on sidewalks and public spaces, including the plant
palette and recommended dimensions of trees, plants, and planting elements,
considerations for irrigation, water treatment and reuse. The incentive of endemic species
that contribute to strengthen the ecosystemic services of green infrastructure should be
taken advantage of.
Rainwater
infrastructure
It considers rain gardens, water drainage elements, drains and grates, and pavement types.
Active first floor Guidelines to promote the first floor
Intersections Design and guidelines for crosswalks, which can be of different types, such as crossings at
the level of the vehicular lane, crossings on a rebound, crossings on a platform (sidewalk
level), etc... Adequate measures must be considered according to existing manuals and
regulations, as well as the correct horizontal and vertical signaling.
Parking Parking management is important for the social and economic success of urban spaces.
Parking regulation
can manage parking demand and discourage car use. On-street parking
can be regulated with its location, guidelines for accessible parking, implementation of
parklets or pocket parks using parking spaces for public space. Likewise, parking lots within
private properties can be regulated, indicating their number, location, access, etc.,
depending on the use of the land and the zone where they are located.
Access Guidelines for pedestrian and vehicular accesses and service areas, such as their location
and dimensions to give pedestrian priority and promote safe dynamics.
What are good urban practices?
● Social housing. Developers guarantee 10-20% of residential units dedicated to public rental social housing for
vulnerable groups of the society.
● Mixed-use. The building integrates residential and commercial use (or other public facilities), to improve
diversity and create a vibrant public life. Commercial use is generally at the ground floor to increase public accessibility.
● Active facade. Ground floor facade serves the public spaces and the surrounding streets, providing services,
lights, greenery, pleasant surfaces, exchange and accessibility. These increase the quality of public spaces, safety and the value of the neighbourhood.
● Nature-based solutions. Green and blue infrastructure help address multiple challenges and provide
numerous benefits to the city and its residents, including climate mitigation and ecosystem-based adaptation, food security, health and well-being, recreational opportunities and local economic development. Hybrid approaches, combining green, blue and grey infrastructure, can be effective strategies for sustainable and resilient land-use planning.
● Public space. Developers reserve a % of the plot to covered or uncovered public areas, free to access and

446. T68 Urban Development Directives Guide
use for all the city dwellers and tourists, defining a setback, an accessible hall or a courtyard.
● Physical permeability. The block provides well-maintained, cleaned and lighted secondary paths to ensure
walkability and accessibility of the neighbourhood.
● Use of renewable energy. Developers guarantee to develop building in line with the sustainable architecture
principles, to supply the building with alternative energy resources (solar, geo-thermal, wind, etc. ) covering a
considerable % of its demand, as well as integrating sustainable solutions such as green rooftop, vertical
greenery, cross-ventilation, etc.
Example of Urban Design Guidelines,
Master Plan Puente Nichupté , Cancun, Mexico. More references on page
367.

447. T68 Urban Development Directives Guide
use for all the city dwellers and tourists, defining a setback, an accessible hall or a courtyard.
● Physical permeability. The block provides well-maintained, cleaned and lighted secondary paths to ensure
walkability and accessibility of the neighbourhood.
● Use of renewable energy. Developers guarantee to develop building in line with the sustainable architecture
principles, to supply the building with alternative energy resources (solar, geo-thermal, wind, etc. ) covering a
considerable % of its demand, as well as integrating sustainable solutions such as green rooftop, vertical
greenery, cross-ventilation, etc.
Example of Urban Design Guidelines, Master Plan Puente Nichupté , Cancun, Mexico. More references on page
367.
T68 Urban Development Directives Guide

448. T68 Urban Development Directives Guide

449. T68 Urban Development Directives Guide

450. ANNEX-
ES

451. ANNEX-
ES
Planning experiences
References
Get in touch
06

452. 452
452
Planning experiences
Angola’s National Policy on Territorial
Planning and Urbanism (PNOTU)
Angola
Las Lajas Municipal Development Plan
Las Lajas - Argentina
Aluminé Municipal Development Plan
Aluminé - Argentina
El Huecú Municipal Development Plan
El Huecú - Argentina
Plaza Huincul Municipal Development Plan
Plaza Huincul - Argentina
Belmopan Urban Development Plan
Belmopan - Belize
Have you used Our City Plans
toolbox? Share your planning
experience or project with us to
add it to our digital platform!

453. 453
Sao Tome 2030
Sustainable Urban Development Framework
for the Island of Sao Tome
Sao Tome - Sao Tome & Principe
Principe 2030 - Sustainable Development Plan for the Autonomous Region of Principe
Principe - Sao Tome & Principe
Launch and training session of Our City Plans Central America
Belize City - Belize
Urban planning, beautification and extension project of the city of Dame Marie
Dame Marie - Haiti
Urban development initiative (UrDI) for the Canaan area of Port-au-Prince
Canaan, Port-au-Prince - Haiti
Urban planning, beautification and extension project of the city of Jérémie
Jérémie - Haiti
Planning experiences

454. 454
454
Bissau 2030
Sustainable Development Plan
Bissau - Guinea Bissau
Bolama-Bijagós Regional Strategic Development Plan Bijagós 2030 Etibêne Kossok!
Region of Bolama-Bijagós - Guinea Bissau
Bolama Basic Spatial Plan
Bolama - Guinea Bissau
Bubaque Basic Spatial Plan
Bubaque - Guinea Bissau
Sustainable Development of Hawassa City Cluster
Hawassa - Ethiopia
Bahir Dar Vision 2035
Bahir Dar - Ethiopia
Planning experiences

455. 455
Planning experiences
Urban planning, beautification and extension
project of the city of Les Cayes
Les Cayes - Haiti
Ciudad Juarez 2040 City Vision
Ciudad Juarez - Mexico
Greater Conakry Regional Master Plan and two Detailed Development Plans
Conakry - Guinea
Gorongosa 2030 - Sustainable Development Framework 2030 of Gorongosa Village
Sustainable Tourism and Green Growth for Heritage Settlements of Kathmandu Valley
Gorongosa - Mozambique
Lalitpur - Nepal
San Nicolas de los Garza 2030
City Vision
San Nicolas de los Garza - Mexico

456. 456
456
Future Saudi Cities Programme
Saudi Arabia
Spatial Development Framework 2040: City
of Johannesburg Metropolitan Municipality
Johannesburg- South Africa
Integrated Spatial Plan for Environmental and Socio-Economic Resilience for the city Khorog, Tajikistan
Khorog- Tajikistan
Institutional Strengthening and Capacity Building for
Urban Development in Vietnam, Spatial strategy and
action plan for Ben Tre city, Ben Tre province
Ben Tre - Vietnam
Institutional Strengthening and Capacity Building for Urban Development in Vietnam, Comprehensive development strategy of Tam Thanh toward Tourism Community Art Village
Tam Kỳ - Vietnam
Institutional Strengthening and Capacity
Building for Urban Development in Vietnam
Vung Tau - Vietnam
Planning experiences

457. 457
References
Reference year
2030 Agenda and the Sustainable Development Goals 2015
A Guide to Developing Collaborative Partnerships in Civil Society 2015
A guide to input output model multipliers 2015
A Guide to Resource Mobilization 2012
A new strategy of sustainable neighbourhood planning: Five Principles 2014
A Practical Guide to Designing, Planning, and Executing Citywide Slum Upgrading Programmes2015
A Primer in Economic Multipliers and Impact Analysis Using Input-Output Models2018
An Analysis of Urban Climate Adaptation Finance 2021
An Introduction to Economic Impact Assessment 2002
Assessing the impact of eviction Handbook 2014
Assessing The Impact Of Eviction: Handbook 2014
Bissau 2030 Sustainable Development Plan 2019
Challenges and Opportunities for Urban Climate Finance 2017
City context reports of the Global Future Cities Programme 2019
City of Toronto Long-term Decision-making, Planning and Budgeting 2017
City Profiles of the Future Saudi Cities Programme 2019
City Prosperity Index 2016
City Prosperity Initiative 2015
City Resilience Action Planning Tool (CityRAP) 2018
City Revenue Fact Sheet 2016
City-wide public space assessment toolkit 2020
City-Wide Public Space Strategies: A Compendium of Inspiring Practices 2019
City-wide public space strategies: A Guidebook for City-Leaders 2020
Ciudad Juarez City Vision: Executive report 2023
Climate Change Legal Tools NA
Climate change vulnerability and risk: A guide for Community Assessments, Action Planning and
Implementation
2015
Climate Finance Reports and Tools 2021
Climate Proofing Toolkit 2021
Collaborative Map NA
Community participation in public space and urban design projects during the COVID-19
pandemic: Experiences and reflections from Iberoamerica and the Caribbean
2021
Constructed Wetlands Manual 2008
Consul Project NA
Economic Foundations for Sustainable Urbanization: A Study on Three-Pronged Approach:
Planned City Extensions, Legal Framework, and Municipal Finance
2017
Economic Impact Assessment: An Overview NA
Encyclopedia of Social Measurement 2005
Environmental and Social Safeguards System Version 3 (ESSS 3.1) 2021
Equity Park Master Plan 2021
All additional resources included in the
Activities can be found in the Resources
section of the digital platform. Explore them
and filter them by keyword or Phase.

458. 458
458
Finance for City Leaders Handbook 2017
Financing Sustainable Urban Development 2021
Financing Urban Shelter 2005
Fit-for-Purpose Land Administration Principles 2017
Flagship Programme SDG Cities 2020
Framework for assessing continuing land rights scenarios 2016
Framework for the assessment of the Urban Planning Regulations 2018
Framework for the Costing and Financing of Land Administration Services 2018
GIS Handbook for municipalities 2016
GIS Methodology: Future Saudi Cities Programme 2019
Global Land Tool Network NA
Global Public Space Toolkit: From Global Principles to Local Policies and Practice2015
Global Urban Monitoring Framework 2022
Governance Assessment Framework for Metropolitan Territorial and Regional Management2020
Guidelines for Urban Planning in Myanmar 2016
Guidelines on Impact Assessment for EU Lamfalussy Level 3 2008
Handbook on Supply and Use Tables and Input Output-Tables with Extensions and Applications2018
Her City toolbox 2023
Innovative Land and Property Taxation 2011
Input-Output Analysis: Foundations and Extensions 2022
Integrating Health in Urban and Territorial Planning: A sourcebook for urban leaders, health and
planning professionals
2020
International Guidelines on Urban and Territorial Planning (IG-UTP) Handbook2018
Kobo toolbox NA
Land and natural disasters. Guidance for Practitioners 2010
Land and Property Tax 2011
Land Professionals in the Arab region: roles, capacities and contribution to land governance and
land tenure security
2023
Leveraging Land: Land-based Finance for Local Governments 2016
Leveraging Land: Land-based Finance for Local Governments - A Reader 2016
Manual for the Preparation of Voluntary National Reviews 2021
Methodological Guide for the operationalisation of urban projects 2018
Methodologies - Metropolitan planning and management 2020
National Urban Forum Guidelines NA
New Urban Agenda 2017
New Urban Agenda Illustrated 2020
Next steps under the Paris Agreement and the Katowice Climate Package 2019
Nichupté Bridge Master Plan 2021
Plan Assessment Tool for Rapidly Growing Cities 2022
Planned City Extensions: Analysis of Historical Examples 2015
References

459. 459
Planning for Climate Change: A strategic, values-based approach for urban planners2014
Planning Sustainable Cities UN-Habitat Practices and Perspectives 2010
PPP Reference Guide 3.0 2017
Principe 2030 2020
Prioritisation of urban projects 2018
Project portfolio Ciudad Juarez Vision 2040 2023
Project SDG Assessment Tool 2020
Prosperous Cities Index (Mexico) 2018
Public Space Site-specific Assessment Guidelines 2020
Public-Private Partnership Handbook 2008
RACI Matrix 2022
Rapid Financial Assessment for Planned City Expansion (PCE) 2016
Rapid Financial Feasibility Assessment for Planned City Extension (PCE) 2016
Rapid Planning Studio 2016
Rapid Planning Toolkit: A Mayor's Step-by-Step Guide To Delivery Of Planned Urban Extension2020
Regional Spatial Planning Strategy for Darfur: Peace Building, Recovery and Development of
Darfur, the Urban Factor
2015
Remaking the urban mosaic. Participatory and Inclusive Land Readjustment2016
Rethinking City Revenue and Finance 2022
San Nicolas de los Garza 2030 Strategic Project Portfolio 2021
San Nicolas de los Garza Vision for 2030 2021
Saudi Vision 2030 Dynamic Input-Output Table: A Tool for Quantifying the Sustainable
Development Targets of Saudi Arabia
2020
SDG indicator framework NA
SDG Project Assessment Tool NA
SDG Voluntary National Reviews 2022
Secure land rights for all 2008
Settlement Profiling Tool 2020
Social Tenure Domain Model 2021
Streets as Public Spaces and Drivers of Urban Prosperity 2013
Streets as tools for urban transformation in slums: a UN-HABITAT approach to citywide slum
upgrading. Working paper. Nairobi, UN-Habitat
2014
Supply, Use and Input-Output Tables 2023
Sustainable Building Design for Tropical Climates 2015
Sustainable Development Goals Acceleration Toolkit 2020
Sustainable Development Goals Indicators and Monitoring Framework 2015
Sustainable peace through women's empowerment and access to housing, land and property
rights
2023
Sustainable Urban Energy Planning A handbook for cities and towns in developing countries2009
Tactical urbanism master plan for San Nicolás de los Garza, Mexico 2021
Technical Guidebook For Financing Planned City Extension And Planned City Infill2016
References

460. 460
460
Tenure responsive land use planning - A Guide for Country Level Implementation2016
The Challenge of Local Government Financing in Developing Countries 2015
The International Guidelines on Urban and Territorial Planning (IG-UTP) 2018
The New Urban Agenda Monitoring Framework 2022
Training for urban planners in Latin America 2022
UIIF Urban Infrastructure Insurance Facility 2023
Urban Planning for City Leaders 2014
Urban Prosperity Initiative (CPI) 2023
USaid - Project Financial plan template NA
Using Minecraft for Community Participation 2016
Using Minecraft for Youth Participation in Urban Design and Governance 2015
Value Capture and Land Policies 2012
Voluntary National Reports (INV) 2022
Waste Wise Cities 2023
What is a Bankable Project 2013
References
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